Many advisers ask us what an FMA monitoring visit involves and what they need to do to prepare.

Concerns come up about the time required to get ready, the ability to gather all necessary documentation, and the fear of potentially failing the visit.

To shed some light on the process, we are joined by Hamish Patel, Chair, Member Advisory Committee – Lending, and Keagan Modlin, Director, The Lending Team – both of whom have recently been through an FMA monitoring visit.

They will share their experiences, including explaining what was involved in getting prepared with organising documentation and reporting.

Hamish and Keagan will also describe the questions and discussions with the FMA, what information and evidence they provided to demonstrate their compliance, such as client files, financial records, and internal policies, and the feedback they received.

This webinar provides valuable information for financial advisers and FAP’s who have not yet been involved in an FMA monitoring visit. This peer-to-peer sharing gives you the opportunity to learn firsthand from your colleagues and provide you with practical ideas to help your business be prepared.

Complimentary for members. $50 + gst for non-members