FMA Check-In on Licensed Providers’ Operational Resilience
News that the FMA is undertaking a 'significant survey' looking at the operational resilience of licensed market service providers, including financial...
Fit-for-Purpose Complaints Processes – Your Verdict
The results of our latest poll indicate that a healthy majority of advisers are sure their advice firms’ complaints processes are easily accessible for...
Latest Poll – Fit-for-Purpose Complaint Processes?
Our latest poll is asking advisers to consider whether your firm’s complaints processes are genuinely easily accessible for customers and are fit-for-purpose.
Our question follows...
Former Financial Adviser Sentenced For ‘Gross Breach of Trust’
There was a great deal of interest this week in news a former financial adviser had been sentenced to more than...
Companies Encouraged to Review Complaint Processes
Financial services companies need to do more to help their customers to complain, says the FMA, which "strongly encourages" companies to review their complaints...
Call to Action for Advisers to Help Disrupt Scams
Financial advisers can play a critical role in helping to disrupt financial scams, according to the Financial Markets Authority’s Head of Financial Advice, Romil...
FMA Seeking Feedback on Industry Use of AI
Financial Markets Authority CEO Samantha Barrass is asking financial services companies to share with the regulator what they’re experimenting with in regards to AI...
Revised Adviser Code – Your Verdict
Advisers who disagree that the revised adviser code will deliver better outcomes for both advisers and clients have narrowly out-voted those who do see...
Ombudsman Receives More Than 86,000 Cases in 30 Years
The Insurance & Financial Services Ombudsman Scheme has received more than 86,000 cases over the 30 years since it launched in 1995.
In marking its...