Monday, October 26, 2020

Compliance & regulation

Poll Result: ‘Fees-For-Service’ Model Draws Moderate Support

Results from our latest poll appear to show that a quarter of financial advisers are considering billing new clients for the help they provide. Last...

Guide To Financial Disclosure Obligations Released

Cygnus Law has published a guide to help financial advisers understand their obligations under the disclosure rules that will apply from 15 March next...

New Poll: Will You Charge New Clients For Advice?

This week we reported on two financial advice firms which operate in different ways (see: Charging For Advice Raised At Bounce Conference). PH Wealth charges...

Insurers To Face Similar Solvency Tests As Banks

New solvency standards for insurers will be issued by the RBNZ at the end of next year with a final standard to be announced...

Where Your Adviser Business Should Be Now

GUEST COLUMNIST – STEVEN BURGESS Steven Burgess, CEO of the Compliance Refinery, has worked with financial adviser businesses for more than 15 years – building...

FMA Concerned About Weak Governance

A Financial Markets Authority (FMA) report on its supervision activities over the past 18 months says large parts of the financial services sector are...

Unpacking Conflicts Of Interest

GUEST COLUMNIST – KATRINA SHANKS Mitigating and managing conflicts of interest is a key element in the new disclosure requirements, writes Katrina Shanks, CEO of...

Advisers Urged To Remember Their Obligations

Treating clients fairly, providing suitable advice, and ensuring they understand the agreement they are signing, were the key take-aways of a presentation by the...

Advisers Should Clarify Their Status – Strategi

Advisers have been urged to clarify their professional status and decide how they will work under the incoming regulatory regime. The call has been made...