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Advisers told to dob in peers

Advisers must dob in any of their peers who aren’t meeting industry standards, Financial Markets Authority chief executive Sean Hughes says.

Friday, May 17th, 6:00AM

He addressed the first day of the Professional Advisers Association conference in Auckland yesterday and told them that the FMA welcomed direction from the industry on where it should focus its monitoring and surveillance efforts.

There were reports of instances where market participants had seen but not acted on other participants’ behaviour, he said. “We can do our job better when you work with us…Tips and complaints are an important source of information for the FMA and we encourage market participants to advise FMS of any poor conduct or behaviour...MORE»

AFA requirements should be stricter: Hughes

Tuesday, May 14th, 6:00AM

The Financial Markets Authority wants the entrance criteria for would-be financial advisers to become a lot stricter.

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FMA 'too slow'

Friday, May 10th, 6:00AM

The Financial Markets Authority needs more resources to proactively engage with the industry, rather than reacting to problems and complaints when they are raised, says former FMA senior adviser Gavin Austin.

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Previous News

Advisers ask: Are qualifications worthless?

Friday, April 5th, 6:00AM

Some financial advisers have been left wondering about the value of their qualifications after a provider decided to pull out of the New Zealand Qualifications Authority accreditation process.

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FSP rules tightened

Tuesday, March 12th, 1:06PM

People with recent overseas criminal convictions will not be able to register as financial services providers, under changes announced today.

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Lessons for the finance sector

Friday, March 8th, 5:20PM

The Commerce Commission is advising the finance sector to take note of the lessons to be learned from its investigation into the marketing and sale of the failed investment product Credit SaILS. The following are its tips.

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Leitch: FMA looks set to crack down

Wednesday, March 6th, 10:19AM

The Financial Markets Authority’s latest compliance focus report shows it will become less lenient with non-compliant advisers, says Peter Leitch, chairman of the Professional Advisers Association.

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Separate adviser authorisation opposed

Thursday, February 21st, 6:00AM

Creating separate categories and qualification requirements for Authorised Financial Advisers depending on their specialisation would be a backward step, industry representatives say.

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  • Partners wins PAA gong
    “Commentators, plenty of other great (and more deserving) awards during the night, congratulations to Dean Young as adviser...”
    20 hours ago by Krishna Mountee
  • Advisers' Code about to get tweaked
    “@gt Interesting comments about being banned from the Portfolio Construction Forum. I read their terms and conditions and...”
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  • S&P sounds warning to some lenders
    “S&P's assertion that the property mini boom mainly in Auckland may, if it rapidly cools have a devaluing effect on the NZ...”
    20 hours ago by Richard the Third
  • Partners wins PAA gong
    “400 attendees, usually 120 Company folk.. so possibly 28 Advisers. Not all would vote... the outcome is hardly significant...”
    22 hours ago by Get real
  • Partners wins PAA gong
    “Agree with Vinnie & Observation. Personally I am having trouble understanding Peter Leitch's comment about the PAA not endorsing...”
    22 hours ago by Amused
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