BUSINESS

Financial Adviser & Financial Service Provider Advice

Compliance and advice – The Code of Professional Conduct for Financial Advice Services requires people 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 (FSLA) 2019.

This is a lot of law to get across. McVeagh Fleming knows from experience that many are unaware of the full compliance requirements that relate to their business. Talk to McVeagh Fleming about how you can become fully compliant.

Offers of Financial Products and Financial Markets Advice

Technological innovation in the financial services sphere is constantly evolving new models, applications, processes, and products to deliver financial services.


Recent Insights

May 2019

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

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").
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April 2017

Providing Financial Services or Financial Products in New Zealand

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.
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