Monday, May 6, 2024

Compliance & regulation

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...
Richard Klipin FSC 2023 conference.

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...
fma Bolingford

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's Melanie Purdey, Head of Governance and Steve Burgess, the firm's CEO.

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...