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Two advisers investigated

FMA began investigations into two potential referrals to the Financial Advisers Disciplinary Committee in the past year.

Friday, August 28th, 12:47PM  1 comment

It has released its investigations and enforcement key themes report for the year ended June 30.

It said the key issues in most cases related to governance, culture and conflicted conduct.

The report highlights the FMA’s wider range of regulatory responses to poor compliance and misconduct.

More than three-quarters of its completed investigations resulted in sanctions that did not involve court.

It used responses including enforceable undertakings, interventions such as third-party reviews, sanctions, warnings and directions and directing the Registrar to remove companies from the FSPR ...MORE»

New Zealand lagging on decumulation options

Friday, August 28th, 6:00AM  4 comments

New Zealand retirees are turning to rental property because there are not enough products to provide income in retirement, it has been claimed.

MORE»

Mount appeals again

Thursday, August 27th, 6:00AM  1 comment

Former high-profile Nelson financial adviser Tony Mount has launched another appeal against his convictions.

MORE»

Portfolios, not products the key: James

There are calls for more oversight of advisers' portfolio construction.

Wednesday, August 26th, 6:00AM  3 comments

Richard James, chief executive of NZ Funds, said New Zealand's regulatory focus needed to shift away from scrutiny of the suitability of individual products to look at portfolios in their entirety.

“Generally speaking, most regulation is focused at a product level but most of us don’t hold one product, we might hold 10. What actually matters to people is that the assets they own in their portfolio are sensible for what they are up to, their age and risk profile ...MORE»

RFAs not impressed by push for one standard

Tuesday, August 25th, 6:00AM  3 comments

PAA may want just one class of financial adviser – but not all of its members agree.

MORE»

Southall moved from review

Monday, August 24th, 6:00AM  2 comments

There has been a change at the helm of the Financial Advisers Act review.

MORE»

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Kiwibank plans digital future

Friday, August 28th, 10:39AM

Kiwibank says its focus for the future is transforming into a digital business, with fewer branches and digitally-enabled sales supported by staff. MORE»

Insurance Centre Sponsored by: 

nib plots more growth

Tuesday, August 25th, 3:53PM  3 comments

nib New Zealand says it expects its growth to accelerate and is planning a new adviser offering later this year. MORE»

Regulation Sponsored by: 

Submission slams FMA

Friday, August 7th, 6:00AM  11 comments

SiFA has entered a searing submission in response to the Financial Advisers Act review issues paper. MORE»

People and Events Sponsored by: 

Smee leaves Kepa role

Thursday, August 20th, 10:08AM

Kepa's head of marketing and communications Nicola Smee is to step down. MORE»

Deposit Rates Sponsored by: 

General Finance experiencing good growth

Thursday, July 2nd, 2:56PM

General Finance is seeing growth in its business as investors chase good yields. MORE»

KiwiSaver   

FSC: KiwiSaver delivering for middle NZ

Thursday, August 27th, 6:00AM

A decision to remove the $1000 incentive for new KiwiSaver members was made on the basis of inaccurate information, the Financial Services Council says. MORE»

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