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FINSIA briefing series: Financial Advisers Regulation

Thursday 12th of August 2010

The shape of financial adviser regulation

Explore the new regime for regulating financial advisers with a particular focus on the relationship between the regulator and the regulated. This will include discussion about:

  • implementing the legislation - the new regulatory framework
  • the Code of Professional Conduct - benchmark for AFAs and QFEs
  • the role of the Commission - what happens post-licensing?
Speakers include:

  • David Mayhew, Commissioner for Financial Advisers and Member of the Securities Commission, New Zealand
  • Lloyd Kavanagh, Senior Partner, Minter Ellison Rudd Watts
Date: 12August

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2 months ago AlBean
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