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Shorter version of return gets green light

AFAs will have to answer 40 questions about their businesses each year in Information Returns submitted to the Financial Markets Authority.

Tuesday, July 8th, 6:00AM

The returns are required as part of the new reporting requirements for AFAs.

The first return has to be filed by September 30 this year, covering their business activities up until June 30.

The confirmation of the questions follows two rounds of consultation.

The first draft of the return ran to more than 20 pages and 73 questions. It asked for details of an adviser’s income, which many complained was a breach of privacy...MORE»

Return 'may just add work for advisers'

Wednesday, March 26th, 6:00AM

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.

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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.

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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.

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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.

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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.

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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.

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FMA says it will do better with FMCA than AML

Wednesday, September 18th, 6:05AM

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Latest Comments
  • Bank advice 'an area of concern'
    “Well said Dirty Harry! In the example you used, who is to say the customer doesn't owe $5,000 to a third tier lender...”
    1 day ago by Cynical Ex-banker
  • Bank advice 'an area of concern'
    “FACT: I went into my bank to make an enquiry. After completing that I was asked if I was in K/Saver. I said I was in...”
    1 day ago by LPL
  • Bank advice 'an area of concern'
    “In other words, the true home of 'too much selling and not enough advising...’; If someone walks into a bank and says...”
    1 day ago by Dirty Harry
  • What’s the point of independent advisers?
    “Good work from Mr Berry. The “views paraphrased from the large fund manager” are ridiculous and if these views are...”
    1 day ago by Brent Sheather
  • What’s the point of independent advisers?
    “Great article. Is one of the problems also that the providers (banks/insurance companies/fund managers etc) don't offer...”
    1 day ago by btw
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