Financial Advice NZ – Canterbury / Nelson Regional Meeting   

We are delighted to announce the topic and speaker for our next Regional meeting:

Practical Workshop – Getting ready for licensing

Friday 18^th October at 9.00am – 12 noon

Clearwater Golf Course

40A Clearwater Ave, Northwood

AGENDA

Coffee & Tea    –   Mix & Mingle

Opening with MC Patrick Clemenger

A word from our sponsor – John Berry Pathfinder CEO

We are delighted to introduce the second of our sponsors who support our region and help subsidise our Regional events.

Our second sponsor for 2019 is Pathfinder.  Please join us in thanking them for their support. Established in 2009, they now manage 6 Funds. Their research and expertise is focused on investing responsibly and ethically in global markets. They believe that investors should consider the environmental, social and governance (ESG) impact of their investments by avoiding harmful industries such as tobacco, land mines and gambling.

Introduction – Andrew Gunn

Part 1 – Your personal obligations within a FAP

A practical workshop to help you structure your business processes and documentation covering such areas as:

• The Financial Adviser – driving Client outcomes
• Obligations of the Financial Adviser and the FAP
• Policies Procedures and Controls (and processes!)
• Checking – your ‘ring of confidence’
• Key issue in the new regime
• Client-centric approach – client outcomes

Morning Tea break

 Part 2 – Work exercises

The practical part of the workshop takes two case studies for three break-out groups:  lending, risk and investment advisers

• A small client transaction – developing a business procedure and process
• Checking in – does the process demonstrate the required client outcomes?
• Replacing a financial product – developing a process
• Checking in – does the process demonstrate the required client outcomes?
• How to ensure a client understand it all!?

Update from the Chair

Katrina Studholme will give an update on our recent activities

Registrations

As this is a practical workshop, we will not be running a zoom video session, there will only be an in person registrations.

The event has a cost of $15 incl GST per person for the venue hire, coffee, tea & muffins / scones.

2 CPD hours are available for this event.

If you have any questions please direct to the committee secretary sheryn@theloanarranger.co.nz