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Time running out for DIMS decision

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.

Wednesday, April 15th, 6:00AM

Advisers who want to carry on offering DIMS under the new regulations have to take some action by the end of May.

Applications for a licence for class DIMS must be received by May 31. Those who want to offer personalised DIMS must file a new ABS by the same date.

Advisers who have been authorised to offer DIMS previously but no longer want to offer the service need to contact the FMA to cancel their authorisation...MORE»

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.

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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.

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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.

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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.

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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.

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FAA review begins

Tuesday, March 3rd, 11:20AM

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

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Principles approach to FAA review likely

Friday, February 27th, 6:00AM

Advice accessibility and suitability, as well as issues of conflict of interest, are likely to be top of the list to address as the Financial Advisers Act is put up for review, a regulation expert says.

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