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Return 'may just add work for advisers'

Industry participants were scathing in their response to the first draft of the new information return advisers will now have to complete annually. But the changes the FMA has made in its second attempt have been cautiously welcomed.

Wednesday, March 26th, 6:00AM

The regulator has issued a second consultation paper on the proposed reporting requirements for authorised financial advisers, including an updated version of the information return.

The return is a detailed questionnaire running to more than 20 pages that asks for information about the adviser and their business.

One of the least popular aspects of the original draft were questions such as “what was your gross income from financial adviser services for your last completed tax year” and for details of how the adviser’s income level had changed, year on year...MORE»

Worry at DIMS 'overkill'

Thursday, March 6th, 6:00AM

There is concern regulation of discretionary investment management services under the new Financial Markets Conduct Act is overkill.


Call to add reasonableness standard

Monday, October 28th, 5:02PM

A “reasonableness” standard should be included in the conflict of interest standard in the new Code of Professional Conduct for Financial Advisers, a Chapman Tripp senior associate says.



Previous News

Taking professional bodies out of the equation 'a boost'

Wednesday, October 9th, 6:00AM

Moves to require structured continued professional development credits to have credentials beyond merely being provided by a professional body will give genuine organisations a boost, the Institute of Financial Advisers says.


Professional bodies 'will have to push harder' on CPD

Friday, October 4th, 6:01AM

[UPDATED, ADDS DAVID IRELAND COMMENT] Under the new proposed code for financial advisers, rules around CPD credits and who can offer them are being tightened and the proposed KiwiSaver delegation has been dropped.


Draft version of revised code released

Thursday, October 3rd, 4:34PM

A controversial proposed KiwiSaver pathway has been all but done away with under the revised Code of Professional conduct, released today.


FMA says it will do better with FMCA than AML

Wednesday, September 18th, 6:05AM


AFAs set to produce their own annual reports

Tuesday, September 17th, 6:05AM

Authorised financial advisers will have to provide the Financial Markets Authority with an annual in-depth report on their businesses and the advice they are giving under regulatory reporting requirements it is proposing.



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