FMA Offers Help for FAPs’ First Regulatory Returns
The FMA is to hold two online sessions to help FAPs submit their annual regulatory returns.
All licensed FAPs are required to complete a return...
Proposed Amendments Announced for Code of Professional Conduct
The Financial Advice Code Committee has announced proposed amendments to the Code of Professional Conduct for Financial Advice Services and is seeking industry feedback...
FMA Publishes Fair Conduct Advice
The FMA has published advice for smaller firms to help them establish and maintain a Fair Conduct Programme (FCP) and apply for a Financial...
Time for FAPs to Review Client Checklists
Recent changes brought about by the Government’s Budget announcement have prompted the need for financial advisers to perform a review of their published documents...
Dispute Resolution Changes on The Table
The Government is looking to reform the regulatory landscape for financial services, and is inviting industry feedback on its proposals.
Among the proposed changes include...
FMA Urges Advisers to Read its Monitoring Report
The first Financial Advice Provider Monitoring Insights report shows that some FAPs and advisers have a limited understanding of the purpose and intent of...
New Chair Appointed to FMA
Craig Stobo is the new chair of the FMA, replacing Mark Todd, whose term expired at the end of April. Stobo’s appointment is for...
More Work Needed to Increase Client Engagement
With the FMA increasing its engagement with FAPs, Compliance Refinery’s CEO Steven Burgess says advisers need to place more emphasis on ensuring their clients...
FMA to Share Findings of FAP Monitoring
News that insights from the FMA’s monitoring of FAPs is to be shared with the industry drew strong reader interest this week...
Insights from the...