Compliance
Systems and stories of success
The new licensed regime is coming and it will be a real game-changer! Come and hear what successful sector players have already done and are planning to implement to meet the legislative obligations under the new legislation within the new licensed regime.
The assembled panel reflects the diversity of contributors in the compliance sector; system designers and compliance personnel from larger corporates, financial advice support firms, people within integrated-advice companies with branch networks and compliance experts for single-adviser practices.
The session isn’t focussed solely on compliance issues but rather what firms are doing to really improve client satisfaction and client outcomes. The facilitator will be asking the panellists what is their one big successful idea they are implementing for the new regime – so if you want to hear the answers – come to this session.
Andrew Gunn
Facilitator
Andrew is the Learning & Development Manager at Financial Advice New Zealand. Andrew’s key responsibility is to assist members with achieving their continuing professional learning goals and facilitate member’s journey to the designations of CFPCM and CLUCM.
Angi Mann
Angi has been in the financial services industry for over 20 years, in various roles with lenders and insurance companies. Angi’s key responsibility is to ensure members are able to attain their CPD goal, by sourcing and offering learning and development opportunities across a range of topics and mediums.
Amanda Wolt
Amanda is a compliance advocate with a passion for driving excellence by developing a compliance culture within an organisation. Having worked in the finance industry in both New Zealand and Europe.
Toni Dodds
Toni is passionate about quality advice and assisting advisers to grow in our changing industry in order to deliver a superior client and adviser experience while ensuring they meet ongoing legislative and regulatory obligations.
Mark Banicevich
Mark works as an Industry Engagement Manager at Partners Life with his role to help advisers and adviser businesses understand and transition to the new regime. He also liaises with other industry entities, such as the Financial Services Council.
Leigh Hodgetts
Leigh has worked in the Financial Services sector for over 25 years holding both advisory, compliance and Practice Management roles in Brisbane, Australia. Leigh is now Head of Compliance and Operations for Astute Financial Management who are preparing for Licencing and becoming a FAP in the new regime.
Watch Andrew Gunn’s video about what to expect during this session.