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Qualification questions may cause concerns

A crackdown on adviser qualification requirements could prompt some to leave the industry, it has been claimed.

Thursday, May 28th, 6:00AM

The Financial Advisers Act review issues paper was released this week and outlines the areas the review will consider.

Among them are adviser qualifications and ethical requirements, adviser designations, classes of advice, the role of professional bodies and how well regulation is serving consumers.

Massey University director of academic programmes Claire Matthews said the questions raised around ethics and education standards were likely to be the most concerning to some advisers...MORE»

Time running out for DIMS decision

Wednesday, April 15th, 6:00AM

With less than two months left to make a decision, a number of advisers are still unsure whether they will offer discretionary investment management services (DIMS) as of the second half of this year.


Tell MBIE what you think of regulation

Friday, March 13th, 6:00AM

Advisers are being asked to fill out a survey for the Ministry of Business, Innovation and Employment on what they think about regulation of the sector, as part of the review of the Financial Advisers Act.



Previous News

Claim lawyers, accountants getting unfair deal

Tuesday, March 10th, 6:00AM

Accountants and lawyers should no longer be allowed any exemptions to offer financial advice outside the control of the Financial Advisers Act, one industry commentator says.


FMA outlines supervision approach

Monday, March 9th, 6:00AM

The FMA is warning that just doing the basics of compliance won’t be enough under the Financial Markets Conduct Act.


Advisers in dark about AML

Friday, March 6th, 6:00AM

Some adviser businesses do not realise they are reporting entities under AML legislation, the FMA says.


Industry leader calls for one class of adviser

Thursday, March 5th, 7:04AM

The review of financial adviser regulations has officially started and one industry leader is saying there should not be different classes of advisers.


FAA review begins

Tuesday, March 3rd, 11:20AM

Terms of reference for the Financial Advisers Act review have been released.



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    “Wow, Jeff I take it that your opening title statement sir was not born out of the results from a well researched survey you...”
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  • Dealer groups should be QFEs
    “Removing all of the acronyms for a moment: all components of the "value chain" must add value in order to justify a payment....”
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  • Dealer groups should be QFEs
    “Currently any "overseas" potential purchasers of Kepa would be looking and asking, what would we be purchasing. Turning it...”
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  • Dealer groups should be QFEs
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  • Dealer groups should be QFEs
    “Two Points: 1. Jeff talks about “5000 wayward advisers”. I guess he thinks pretty much every adviser is wayward, Kepa's...”
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