Article tagged with 'compliance'
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Insurer dobs in adviser
27 Aug 2025 - An unnamed insurer had dobbed an adviser in for trying to write policies on non-existent clients.
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Do longer SOAs break the law?
18 Aug 2025 - An Australian adviser magazine asked that question as the heading for an article. The provocatively titled article piece might receive a verdict of ‘not proven’ were we in Scotland, where such a judgment can actually be recorded. But the article is worth a read.
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FMA offers more insight into adviser misconduct trends
12 Aug 2025 - The regulator is cracking down on financial advisers who target vulnerable consumers after seeing a rise in misconduct cases.
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Mortgage fraud red flags outlined
28 Jul 2025 - There has been an increase in suspected mortgage fraud being reported to the FMA.
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Director Support Programme
04 Apr 2022 - Directors are facing more scrutiny as part of the FAP Licensing guidelines released by the FMA.
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Codes must have consequences
09 Nov 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.
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Everett fires back at Drylie
05 Nov 2021 - The former head of the Financial Markets Authority (FMA) says he has little sympathy for complaints that banks are being strangled in red tape.
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AML firm raises $30 mill
02 Nov 2021 - Anti-money laundering compliance firm First AML has raised $30 million.
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New accounting standards = more costs for insurers
01 Nov 2021 - Kiwi insurers are set to face more compliance costs when the latest international-level accounting standards come into effect at the end of this year.
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Competency standards - to move forward, start at the finish
29 Oct 2021 - Professional competency is a career-long journey and if financial advisers can't cope with minimum standards, then it's probably not the path they should be taking.