Business Session – Client Conduct & Care

Sue Brown – Facilitator

Sue is the Chair of Financial Advice New Zealand, an experienced adviser and a leader with the passion, commitment and drive to help clients achieve the outcomes they seek in the regulatory, governance and government sectors.

Her experience as both a legal practitioner and a senior executive in the regulatory sector gives Sue a unique insight into client needs – she has a strong reputation for delivering pragmatic and commercial solutions to complex and challenging issues in the regulatory, government and corporate arena.

Over the last 25 years, Sue has practised law at partner level in the UK, Australia and New Zealand and – as the Financial Markets Authority’s Head of Strategy, Innovation & Engagement – played a lead role in shaping and delivering FMA’s regulatory approach to the Financial Markets Conduct Act.

Business Session – Client Conduct & Care

Other presenters

Our panel will reflect and comment on the outcomes and recommendations of the Australian Royal Commission, the recent FMA and NZ Reserve Bank reports and reviews – and the discuss the enduring and emerging expectations for financial advisers and their conduct and client-care and what really matters. 

Rob Everett

Rob has been Chief Executive of the Financial Markets Authority since February 2014. Rob spent a year as a director at regulatory consultants Promontory before moving to New Zealand at the end of 2013.  

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Marisa Broome

Marisa is the principal of Wealth Advice an Australian boutique financial planning practice focusing on providing comprehensive holistic advice to high net worth families.

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Karen Stevens

Karen Stevens is the Insurance & Financial Services Ombudsman (“IFSO”) in New Zealand. The IFSO is responsible for overseeing a free and independent dispute resolution service for customers of participating financial service providers.

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