At the 2024 Financial Advice NZ conference the FMA shared some insights from their past monitoring visits. The purpose was to help advisers understand some of the advice practice areas that could be improved to help achieve higher compliance with the Code of Conduct. 

In this highly practical Risk Super Wednesday the Risk MAC are focusing on three areas of the findings where shortcomings have been observed: 

1. Solution suitability – presented by Dean Logan
2. Process and documentation for changes to initial advice – presented by Chris Boon
3. Replacement of products – presented by Cecilia Farrow

Hosted by the Dean Logan, Chair of the Risk MAC, and with a guest presentation from the FMA, Ross Skilton, Acting Manager, Financial Advice – Regulatory Delivery Function to discuss the FMA’s approach and process for monitoring visits and address some of the anxieties that many advisers feel about the objectives of monitoring.

This webinar will provide you insights into good practice, providing you the opportunity to consider your own processes and identify potential gaps in your documentation and workflows. 

If you register early, you will be sent an email with a link directly to the webinar. 

Free for Members | $50+gst for non-members 

Earn 1.5 CPD hour – CPD certificates for members will be sent via email within 10 working days after the webinar. If you are not a member and would like a Certificate of Attendance, please indicate on the webinar registration page. If you’re using Ontrack by Kaplan Professional, certificates can be accessed within the platform and will not be emailed.