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Searching Content indexed under Finance and Banking by Penny Sheerin ordered by Published Date Descending.
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1
Latest on the Financial Services Legislation Amendment Bill
An exposure draft of regulations and commentary will be released for public submission in the second quarter of 2019.
New Zealand
20 Mar 2019
2
Conduct and culture banking review - shift expected by end of March 2019
The FMA/RBNZ will also provide individual feedback that is specific to each bank, along with their general observations.
New Zealand
12 Nov 2018
3
The Hayne interim report: regulation and the regulators
This article looks at the quality of the Australian regulatory regime and the accountability of ASIC and APRA regulators.
New Zealand
9 Nov 2018
4
The Hayne interim report: financial advice misconduct
The Commissioner identified misconduct as a "large and endemic problem", caused by greed by both licensees and advisers.
New Zealand
5 Nov 2018
5
Australian Banking Royal Commission: interim report: one step closer to judgement day
This Brief Counsel is the first in a series on the report and is an overview of the report's structure and content.
New Zealand
10 Oct 2018
6
Financial Services Bill improved – now for the code
The Amendment Bill includes minor changes, but much of the regulation will come from the forthcoming Code of Conduct.
New Zealand
11 Aug 2018
7
Chapman Tripp submission on Financial Services Legislation Amendment Bill (FSLAB)
A submission has been made, because the new FSLAB is an important area of law reform that is relevant to many clients.
New Zealand
3 Mar 2018
8
FMA reports on 2017 Conduct Outcomes and looks forward
This Report explains how the FMA responded to 2017 cases of misconduct, and identifies emerging themes and 2018 focus.
New Zealand
23 Feb 2018
9
AML/CFT supervisors release updated guidelines for reporting entities
New guidelines for reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism regime.
New Zealand
20 Dec 2017
10
FMA digital (robo) financial advice further progress towards permissibility.
New exemptions in NZ permit digitalised financial advice to retail clients under certain conditions.
New Zealand
22 Nov 2017
11
FMA toughens approach to misuse of Financial Services Provider Register (FSPR)
Financial service providers wanting to go on the FSPR will need to provide more than mere administrative services in NZ.
New Zealand
27 Sep 2017
12
Financial adviser reforms underway
The MBIE has made improvements to the Financial Services Legislation Amendment Bill as part of the consultation process.
New Zealand
9 Aug 2017
13
FMA consults on KiwiSaver fees methodology
The FMA has issued a consultation paper on the calculation of total fees to be disclosed in KiwiSaver annual statements.
New Zealand
17 Apr 2017
14
Chapman Tripp submission on Consultation Paper - New Financial Advice Regime
MBIE has sought feedback on the reform issues raised in the recent Consultation Paper – New Financial Advice Regime.
New Zealand
10 Apr 2017
15
Financial adviser reforms - our preliminary views
MBIE released a Consultation Paper and Exposure Draft of reforms to the regulation of financial advice in New Zealand.
New Zealand
3 Mar 2017
16
FMA: full pedal ahead, and a bit of tacking
The Financial Markets Authority has refreshed its foundation Strategic Risk Outlook (SRO), published in 2015.
New Zealand
22 Feb 2017
17
New financial advisers and service providers' regime - consultation documents released
All financial advisers, brokers, QFEs, and financial service providers should review this Bill to identify any issues.
New Zealand
22 Feb 2017
18
FMA releases final conduct guide
The Guide identifies a set of customer-focused expectations for the leaders of licensed financial service providers.
New Zealand
13 Feb 2017
19
Importance of on-going compliance: changes for KiwiSaver annual statement information
Recent policy decisions change the information KiwiSaver providers need to give to investors in their annual statements.
New Zealand
29 Dec 2016
20
Feedback sought on use of retirement savings in bankruptcy
MBIE is proposing law changes after the Court ruled that KiwiSaver funds are beyond the reach of the Official Assignee.
New Zealand
28 Nov 2016
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