Thursday, February 25, 2021

Compliance & regulation

How New Regime Will Create Opportunities for ‘Good Advisers’

Some in the financial adviser community are starting to panic as the new regulatory regime edges closer, says Naomi Ballantyne, Managing Director of Partners...

Three Mistakes You May be About to Make

A lack of understanding of the incoming regulatory regime by some in the financial advice community has been identified by compliance and consulting firm...

Free Boost for Advisers Who Want Help

Too many independent advisers are feeling intimidated by the incoming regulatory regime, says Ryan Edwards, Managing Director of The Adviser Platform (TAP). However, the...
Clare Bolingford, the FMA's Director of Banking and Insurance.

FMA’s Vision for Building Trust Across the Insurance Industry

Culture and conduct across the insurance sector will be a key focus of the FMA this year, says Clare Bolingford (pictured), the regulator's Director...

Regulatory Requirements Tip Sheet for Advisers

For advisers wanting to brush up on their legal obligations then Fidelity Life's one-page Compliance Obligations PDF could be worth reading. In three brief sections...

Australian Advisers Able to Operate in New Zealand

Australian financial service licence holders and their representatives will be able to operate in New Zealand without a local licence from the FMA, following...

Top Tips For PI Insurance

Compliance Refinery has published its four top tips for advisers when it comes to professional indemnity (PI) insurance. The firm's PI Insurance briefing document says...

New Course to Help Advisers Bridge the Knowledge Gap

Strategi Institute has launched a training course to help bridge the knowledge gap for advisers transitioning from the current financial advice regime and the...

Consultation Opens On FMA’s Advertising Expectations

The regulator is preparing to publish a guide to help advisers and the wider financial services industry understand what they can and can't say...