About Good Returns  |  Advertise  |  Contact Us  |  Terms & Conditions  |  RSS Feeds Other Sites:   depositrates.co.nz  |   landlords.co.nz
Last Article Uploaded: Friday, February 24th, 11:50AM
rss
Latest Headlines

FMA warns on AML, won't name and shame

Twelve reporting entities, including advisers and advice firms, have been handed formal warnings for breaches of the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) laws.

Wednesday, February 8th, 11:20AM

The FMA requested risk assessment and AML audits from 77 reporting entities (REs), just under 10% of the REs that the FMA supervises, by November 25 last year.

Selection of those required to submit information was partly based on factors including the previous late filing of an AML/CFT annual report and those REs who, for the last two years in a row, said they had not carried out an AML/CFT audit report...MORE»

Client-first may be too big an ask for biggest players

Thursday, January 26th, 6:00AM

Is "client first" too much of a challenge for vertically-integrated organisations, such as banks? David Whyte ponders whether it's time to provide a carve-out for sales, as opposed to advice.

MORE»

Call for more scrutiny of regulators

Monday, August 15th, 5:59AM

Financial services providers are becoming ever more familiar with the Financial Markets Authority in its industry oversight role – but who is keeping an eye on the regulators?

MORE»

 

Previous News

IDS restructures to guide advisers through change

Thursday, July 21st, 6:00AM

Compliance firm IDS has restructured to help advisers prepare for more regulatory change on the horizon.

MORE»

IDS to offer complaint service

Wednesday, April 13th, 5:59AM

Compliance firm IDS is to tap the skills of its newly-appointed general manager to offer a new service to help advisers manage complaints.

MORE»

MBIE asked: What harm are RFAs doing?

Monday, March 7th, 6:00AM

The Ministry of Business, Innovation and Employment has been asked: What problem is the Financial Advisers Act trying to fix?

MORE»

Worry code changes slipping under radar

Friday, February 5th, 6:00AM

There is concern that changes to the Code of Professional Conduct for Authorised Financial Advisers, due to take effect this year, may have slipped under the radar for AFAs amid the bigger review of the Financial Advisers Act.

MORE»

Hundreds offer FAA review input

Monday, October 12th, 6:00AM

Hundreds of people have made their views on the Financial Advisers Act heard.

MORE»

MORE NEWS»

News Bites
Latest Comments
  • Time for fundamental allocation rethink
    “It’s pretty obvious from the huge global shift from active to passive that the standard response, from institutions with...”
    2 days ago by Brent Sheather
  • Sales versus advice distinction 'lost'
    “Chapman Tripp lawyer, Bradley Kidd, does an excellent job of explaining how the complexity of the law around client first...”
    2 days ago by Graeme Tee
  • Time for fundamental allocation rethink
    “All very good points Grant. If anybody would like to look at how this might impact retirement income please take a look at...”
    2 days ago by Anthony Serhan
  • Time for fundamental allocation rethink
    “Not quite sure that he is advocating an active approach. What he is advocating is that perhaps basing an allocation on (lets...”
    2 days ago by smitty
  • Time for fundamental allocation rethink
    “Trend and long-term investment perspectives have been drilled into so many "qualified" advisers and portfolio managers with...”
    2 days ago by Chatterbox
Subscribe Now

Mortgage Rates Newsletter

Daily Weekly

Previous News

MORE NEWS»

Most Commented On
About Us  |  Advertise  |  Contact Us  |  Terms & Conditions  |  Privacy Policy  |  RSS Feeds  |  Letters  |  Archive  |  Toolbox
 
Site by Web Developer and eyelovedesign.com