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Bring in the Experts: Unlocking the Code in the New Financial Advice Regime Part 1
September 9, 2020 @ 10:00 am - 11:00 am NZST
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Bring in the Experts: Unlocking the Code in the New Financial Advice Regime Part 1
This webinar is the first in a series of “Unlocking the New Financial Advice Regime”. This series is designed for financial advisers who provide financial advice to retail clients to ensure they understand their obligations under Section 431M of the FMC Act to comply with the Code of Professional Conduct. If you are a financial adviser you need to understand the new requirements and be able to show you abide by the duties in the legislation.
We are pleased to have Karen Stevens, the Insurance & Financial Services Ombudsman, discussing Standard 1, Standard 3 and Standard 4. This discussion will be supported by exploring case studies and the learnings from these case studies to ensure a better understanding of how to comply in the new regime.
This webinar will explore:
Standard 1 – Treat Clients fairly
Standard 3 – Give advice which is suitable and
Standard 4 – Ensure that the client understands the financial advice.
Karen Stevens has a background in law and alternative dispute resolution. Karen was appointed as the Insurance & Financial Services Ombudsman in 1998. She is a qualified arbitrator and mediator, with her most recent qualification being a Masters in law from LaTrobe University in Melbourne, majoring in conflict resolution.
How do I join the webinar? Zoom Link – simply click on the link a few minutes before 10am on Tuesday.
Can I ask questions during the webinar? Members will be provided the opportunity to ask questions via the written ‘chat’ function or the Q & A tab.
What is the cost? These webinars are offered FREE to Financial Advice Members, Associates, Business Partners and friends of Financial Advice New Zealand.
CPD will automatically be applied to member’s accounts. If you are not a member and would like a Certificate of Attendance, please indicate on the webinar registration page.