The Road Ahead – Part 2 – Reviewing the stages of Disclosure and the complaints process.

This is the second part of the “2023 The Road Ahead” four-part knowledge webinar series for financial advisers with a webinar on Disclosure and how it is provided to the client in the advice process. This is an important component of being licensed in the new regime.

This webinar will provide an opportunity to review the stages of disclosure in your business and advice process. In 2021 you were required to make significant changes to how you disclose to both the public and your clients. This webinar will provide you will assurance the initial changes that were implemented in 2021 to the disclosure process are fit for purpose.

We will also review the internal complaints process to see how this is working across the sector, including the escalation of complaints to your Disputes Resolution Scheme Partners.

Let’s see how this process has evolved and share some tips of what is working well now that we have been using the four stages of disclosure for the past two years.

Joining us on this webinar

Tony Lane, Chief Risk Officer, Squirrel
Tony Lane has had over 25 years experience leading the design, delivery and monitoring of robust risk management programmes for large and small organisations, including start-ups, for New Zealand and international organisations, primarily in the financial services industry.  He takes a strategic overview across enterprise risks, review and assurance programmes, risk governance, risk and compliance frameworks to the technical detail of implementation, Tony ensures the foundation of robust risk management is having a healthy risk culture.

Peter Lee, Director, Financial Planner, Ethical Investing NZ
Peter has worked in the financial services industry for over 30 years in insurance, funds management, trustee services, banking and financial planning. This includes senior executive roles at Guardian Trust and ANZ Bank. Peter is also a former Chief Executive of the Institute of Financial Advisers, now Financial Advice NZ, the industry’s peak financial advisory professional body. Through this, he had the opportunity to identify global best practice in financial planning advice – and he brings this valuable insight to you.

Don’t miss out on this knowledge series which will provide you with confidence that you are on track for continuing to meet the requirements of your licensing conditions and best business practice 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? Free for Financial Advice Members and $50+gst for non-members.

CPD will automatically be applied to member’s accounts 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.