Articles tagged with 'Code Committee'
3 September 2025 - Russell Hutchinson takes a deep dive into the recent changes to the Code of Conduct for financial advisers and highlights the significant changes.
25 June 2024 - The Financial Advice Code Committee is proposing changes to the standards of competence, knowledge, and skill in the Financial Advice Code.
1 April 2022 - The committee which sets professional standards for financial advisers appears to be in breach of its own laws.
9 November 2021 - Codes of conduct are useless unless they are driven from the top down and must have consequences if broken if they are to mean anything.
20 January 2021 - [UPDATED] A highly experienced financial adviser has been found to have breached two code standards by the Financial Advisers Disciplinary Committee.
1 December 2020 - Good Returns sat down with Angus Dale-Jones to discuss the impacts of the new code of conduct on financial advisers, including the two code standards that are most vital to advisers.
9 October 2019 - Advisers in the new financial advice regime will work under a much narrower “client-first” obligation than AFAs operating in the market at present, says the chairman of the committee that drafted the previous version.
8 May 2019 - The industry has expressed surprise that the new Code of Conduct allows advisers to operate under another license with no minimum qualification requirements.
23 October 2018 - Mortgage Room co-founder Paul Fuller says the new draft code of conduct for financial advisers is “fair” for the industry, but admits it is tough on experienced advisers without a level 5 qualification.
21 June 2018 - What constitutes “independent” advice is one of the issues that will be considered by regulators developing the new regime for financial advice.
2 April 2018 - Future qualifications for financial advisers is a hot topic at the moment, but they may well be meaningless unless other changes are made, Jon-Paul Hale says.
14 August 2017 - A preliminary draft of the new code of conduct to cover all advisers is expected by next March or April, the working group developing it says.
9 August 2017 - The chairman of the Code Working Group, Angus Dale-Jones, responds to criticism of the make up of the group and also outlines its plans.
9 August 2017 - The chairman of the working group set up to develop a new industry code of conduct has deflected criticism of a lack of adviser involvement.
19 July 2017 - Mike Newton, of advice firm Newton Ross, told Good Returns it was scary that none of the nine people chosen to develop the new code were financial advisers.
19 July 2017 - Murray Weatherston, a founding member of SIFA, talks to us about the Financial Adviser Review Act, where it’s going and some of his thoughts on it.
14 July 2017 - In this latest episode of GRTV, Mike Newton of advice firm Newton Ross discusses the "scary" make up of the new code working group, Hobson Wealth Partners' Warren Couillault talks about the rising cost of providing financial advice and finally Paul Moore of PM Capital explains why passive managers’ luck just might run out.
12 July 2017 - Moves to allow roboadvice must ensure that providers are held to the same standards as authorised financial advisers, the Code Committee says.
10 July 2017 - There is a risk that a lack of independent advisers on the working group developing their new code of conduct will cost New Zealand its opportunity to provide a sensible framework for advice, one adviser says.
4 July 2017 - First-hand adviser input will be critical for the working group tasked with developing the new code of conduct for financial advisers, the group’s chair, Angus Dale-Jones, says.
22 June 2017 - Advisers are concerned the working group that will develop the industry’s new code of conduct does not include a practitioner's voice – but want it to get on with its job of clearing up uncertainties about looming new rules.
21 June 2017 - The working group who will develop the new Code of Conduct for all financial advisers has been announced – and it includes just one adviser.
28 April 2017 - Any working group put together to develop the new Code of Conduct for advisers needs to have current practitioners among its number, one adviser says.
24 April 2017 - Interviews will happen over the coming weeks with applicants for positions on the working group that will develop the new code of conduct for financial advisers.
24 March 2017 - Expressions of interest are sought for positions on the new code working group.
The group will be made up of at least seven people, and a maximum of 11...
16 March 2017 - The Code Committee has slammed the wording of a new client-first duty set to become law for financial advisers, and the lack of personal accountability proposed for financial advice representatives.
14 March 2017 - It's been a couple of weeks since the Exposure Draft of the proposed new financial adviser legislation was released and something funny has happened. Lots of people in the financial advice sector agree on things.
23 November 2016 - Advisers are being urged to use the Christmas break to check their business statements and professional development plans are up-to-date.
15 November 2016 - Advisers must have their business practices updated in line with the new Code of Conduct requirements by March 1, the Financial Markets Authority has warned.
12 September 2016 - Changes to the Code of Professional Conduct for Authorised Financial Advisers have been given the green light.
“The Code Committee has worked with industry...
18 July 2016 - Proposed changes to the Financial Advisers Act will place more power in the hands of the code committee, which administers the code of professional conduct.
30 June 2016 - Financial advisers and other industry participants were overwhelmingly supportive of a restructure of the Code of Conduct for AFAs, designed to make it easier to offer limited advice, the Code Committee says.
27 May 2016 - A new code of conduct for authorised financial advisers has been submitted to the Financial Markets Authority (FMA) for approval and is likely to come into force by the end of the year.
26 February 2016 - The Code Committee may be creating more problems than it is solving with its new version of the Code of Professional Conduct for AFAs, a submission has warned.
23 February 2016 - There may still need to be some refinement of a new provision in the Code of Conduct for Authorised Financial Advisers that will make it easier for them to offer limited advice to clients.
18 February 2016 - A Code Committee move to recognise more adviser qualifications is being hailed as good news for those who have studied to higher levels.
17 February 2016 - A united professional association representing financial advisers would have more chance of picking up regulatory and compliance functions for the industry, the chief executive of the Institute of Financial Advisers (IFA) says.
15 February 2016 - The committee that administers authorised financial advisers’ code of conduct does not want professional bodies playing a more active role in regulation and licensing in the sector.
5 February 2016 - 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.
22 January 2016 - It should get easier to provide limited advice to clients under changes to the Code of Conduct for Financial Advisers.
7 December 2015 - Fifteen formal submissions have been made to the review of the Code of Professional Conduct for AFAs' minimum standards of competency, knowledge and skill.
27 October 2015 - Changes being proposed to the Code of Conduct for Authorised Financial Advisers are fine-tuning to ensure it is fit for purpose, the chair of the committee that administers the code says.
19 August 2015 - Advisers are being urged to take extra care to ensure they do not end up on the wrong end of a negligence claim.
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