Bring in the Experts – Wednesday 14th July – Are your record keeping processes compliant for the new regime?

In this webinar we are taking a closer look at record keeping and what this means in relation to your financial advice business.

Whether you have a paper based business or are totally tech savvy you need to review your record keeping processes and ensure you are on track.

Do you understand what the record keeping requirements are in the new regime? What do you have to record, why do you have to record it and how long do you need to keep the records? How do I ensure my actions are evidenced in my record keeping especially when I have to prove my clients understand the advice which has been provided.

We’ll run through a few examples to help you implement an approach and meet these requirements. This continues on from our recent regional events we are unbundling more of the standard conditions of full licensing. This is a standard condition of both transitional licences and full licensing requirements.

This is a not to be missed webinar for all advisers to refresh your knowledge on the new requirements in the new regime.

How do I join the webinar series? Zoom Link – simply click on the link to register for the series

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?  This webinar is offered FREE to Financial Advice Members and $50+gst for non-members (non-members please email info@financialadvice.nz).

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.

Our expert speaker
Leigh Hodgetts,  Over the past five years Leigh has been assisting both advisers and businesses to prepare for the new licensing regime in her role as a compliance and training consultant.  She is currently Head of Compliance and Professional Standards with the Kiwi Adviser Network and assists  Financial Advice New Zealand with Learning and Development on a regular basis.

Leigh is a member of the Auckland Leadership team for Financial Advice New Zealand, has worked at the FMA and held senior compliance consulting roles within major NZ banks and dealer groups.

Raising professional standards is something Leigh is passionate about. Her experience as a Financial Planner in Australia (running her own practice), has been invaluable in assisting advisers navigate the changing regulatory environment in NZ.

Leigh holds a Diploma in Financial Planning from Deakin University in Australia and since moving to NZ in 2012, Leigh has completed the National Certificate in Financial Services Level 5 and a Certificate in Adult Education.