Poor Record Keeping Tripping up FAPs
Our report that inadequate record keeping has been identified as a common compliance issue attracted plenty of interest among Riskinfo readers this week..
Inadequate record...
Product Suitability Webinar
The process of proving product suitability to clients is the subject of a Financial Advice NZ webinar featuring compliance expert Karty Mayne from Roswill...
Experienced Adviser Pathway Becomes Law in Australia
Our report on a new law in Australia giving education exemptions to experienced advisers, who would otherwise be unable to continue working in the industry, attracted...
Complaints to Financial Ombudsman up 25%
Our report that the FSCL's Ombudsman has seen a steep rise in complaints attracted lots of attention among Riskinfo readers this week…
Complaints to dispute...
FSC Releases Conference Videos
A range of videos recorded at the FSC's Building Consumer Confidence conference, held in Auckland on 15-17 August, have been published.
Videos feature conference sessions,...
Pros and Cons of Mergers & Acquisitions
A list of common mistakes FAPs can make when implementing plans to grow their company via mergers and acquisitions has been published by Strategi...
Consultation on New Conduct Outcomes – FMA
Generating interest among Riskinfo readers this week was confirmation by the FMA of a proposed set of consumer and market outcomes it believes the...
Compliance Refinery Wins Top Award
Compliance Refinery has received the FSC's 2023 Excellence in Governance Award.
The firm's CEO Steve Burgess, and its Head of Governance Melanie Purdey, heard they...
FSCL Investigates Premium Payment Confusion
Our report on how the wrong person came to pay for someone else's life policy, and the Financial Ombudsman's investigation that followed, is the...