Insights & Articles

Financial Adviser & Financial Service Provider Compliance & Advice

Financial Advisers Must Comply With new Code of Professional Conduct From mid-2020

Financial Advisers Must Comply With new Code of Professional Conduct From mid-2020

Written by:
Andrew Knight
The Minister of Commerce and Consumer Affairs has released the content of a new Code of Professional Conduct for Financial Advice Services that should come into effect in mid-2020. The Code will require those persons who provide regulated financial advice to retail clients to meet certain standards of professional conduct, and will follow the commencement of the Financial Services Legislation Amendment Act 2019 ("FSLA").
Read more
Providing Financial Services or Financial Products in New Zealand

Providing Financial Services or Financial Products in New Zealand

Written by:
Andrew Knight
There are a large number of statutes that potentially apply to any business providing financial services or products in New Zealand. We are aware from prosecutions by regulators and from assistance that we have provided to clients, that many people are unaware of the full compliance requirements that relate to their business. In some cases, businesses may comply with one statute, but are unaware that there are other statutes that apply.
Read more

Subscribe to receive updates

I would like to receive updates for:
Thank you for subscribing. Your submission has been received!
Oops! Something went wrong while submitting the form. Please try again.