Articles tagged with 'Dale-Jones'
Licensing 'progressing as intended'
11 July 2019 - The new financial advice regime will involve many different pieces of regulation working together in a way the Financial Advisers Act environment did not, the chairman of the Code Working Group says.
Code submissions revealed: Industry wanted change
15 April 2019 - Submitters on the draft code of conduct for the financial advice sector took issue with the draft proposed by the working group right from the first code standard.
Code submitted to Minister
6 March 2019 - The Code Working Group has submitted its draft code to the Commerce Minister - but the industry won't find out yet what it contains.
Apprenticeship model possible under new regime
21 November 2018 - Businesses will have more ways to train new advisers into the business under the new advice regime for financial advisers, the chairman of the working group developing the code of conduct says.
CPD detail may be for associations to tackle
25 October 2018 - The number of hours advisers are required to spend on continuing professional development under the new regime may be a question for professional bodies, the code working group has said.
Draft code “exciting” for mortgage advisers: Shanks
15 October 2018 - The requirement for a level 5 certificate under the new code of conduct for financial advisers presents an “exciting opportunity” for mortgage advisers to up-skill, says Financial Advice NZ CEO Katrina Shanks.
Code: From complex to simple
12 October 2018 - The working group developing a new code of conduct for financial advisers has taken heed of submissions made to it - but its new simplified draft still leaves some holes to be filled.
Draft code of conduct revealed
11 October 2018 - Financial advisers will usually need a level five certificate - but not a degree - to meet the requirements of the new adviser code of conduct, released in its draft form for consultation today.
Fund managers deploy DIMS strategy
16 September 2015 - Fund managers are applying for discretionary investment management service (DIMS) licences because it offers them more flexibility than they would get from operating a purely PIE regime.
PAA/NZMBA joint board creation in final stages
25 October 2011 - The creation of a joint board for the PAA/NZMBA is in its final stages and members of both bodies are strongly supportive of the two working closer together.
Complaints rules edge closer
26 May 2009 - Draft rules defining the shape of New Zealand's financial disputes resolution system should be released by early June, three months later than originally scheduled.
Commission recommends compliance by the book
12 May 2009 - Financial advisers looking to beef up their compliance processes in preparation for regulation should check out the guidelines recently published by Standards New Zealand, the Securities Commission said in its latest bulletin.