Article tagged with 'Disclosure'
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Non-disclosure case highlights need for better records
29 Oct 2021 - A life and health insurance adviser has agreed to pay $1000 in compensation to a client who complained to Financial Services Complaints Ltd that she had not been adequately advised about the risks of non-disclosure.
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If in doubt - disclose
19 Apr 2021 - How's that strange new world looking, different or much the same?
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Advisers should lead from the front on climate disclosure
15 Apr 2021 - As the Financial Sector (Climate-related Disclosures and Other Matters) Amendment bill is introduced to Parliament, one expert believes advisers have a key part to play in bringing it into the public consciousness.
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Focus on commission disclosure
22 Mar 2021 - Advisers will need to do a better job of explaining their no-fee, no-obligation model under the new regulatory regime, according to adviser Hamish Patel.
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Disclosure warning as new regulations come into effect
18 Mar 2021 - Insurance advisers are being warned to clearly disclose all fees and charges after one broker was caught adding $34,000 of additional charges to a client’s policies over a period of three years.
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Be clear on clawbacks
18 Jan 2021 - Mortgage advisers must clearly disclose clawback agreements with clients, industry leaders say, as disputes on the topic continue to emerge.
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Perception of conflict of interest serious as the real thing
16 Nov 2020 - Advisers need to be aware not just of conflicts of interest, but also perceived conflicts.
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New disclosure regulations 'a big leap for some businesses'
02 Nov 2020 - Mark Banicevich and David Greenslade speaking at an FSC webinar said that some businesses will need to make big changes to meet new disclosure requirements come March 15.
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FMA: No excuses for shoddy conduct
25 Sep 2020 - After 18 months supervision of the financial sector, the FMA is calling for improvements to governance and compliance.
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Financial services sector questioned regulation draft
28 Aug 2020 - New Zealand’s financial services sector raised concerns about disclosure regulations resulting in a larger volume of repetitive disclosure that could be difficult for clients to digest, submissions show.