Tuesday, October 26, 2021

Compliance & regulation

Time-frame for FAP Licence Applications welcomed by FSC

Richard Klipin, CEO of the FSC, says the FMA has provided a clear roadmap for financial advisers having set the date for transitional licence...

FMA Has Plenty of Scope to Expand According to Outgoing CEO

The work of the FMA is only half done says its outgoing CEO Rob Everett. Everett, who is leaving the regulator to head up New...

Deadline Date Set for Transitional FAP Licence Holders

The FMA has set 30 September 2022 as the target date by when all transitional financial advice providers should apply for their Class 1...

Compliance WOF Offer to Advice Business Owners

Strategi is offering a warrant of fitness service to advice business owners that includes a review of FAP policies, processes, controls, and advice documents. The...

Consultation Opens on 2021 FMA Funding and Levies Review

Consultation has opened on funding and levy options to enable the FMA to oversee three new legislative regimes: Conduct of Financial Institutions (CoFI), Insurance...

Online Tool Helps Advisers Stay Within the Law

The Adviser Platform has launched a new resource called OAT – the Online Advice Tool – to help advisers work within the regulatory regime...

Insurance Ombudsman sees 25% Increase in Complaints

Complaints about insurance products to the Insurance & Financial Services Ombudsman rose by 25% to 334 according to its 2021 annual report. Ombudsman Karen Stevens...

New Course for FAP Managers

Good governance is a key requirement for every FAP so training firm Strategi has developed a course to help business owners meet the requirements...

Webinar for FAP Managers

Financial Advice NZ is holding a webinar for directors of smaller FAPs who want to know more about their obligations to the FMA, and...