GoodReturns | NZ’s financial adviser news-item centre

FMA puts spotlight on paperwork

Record-keeping has been a big issue for many advisers and can underpin many other problems, says an adviser compliance expert who used to work in monitoring for the Financial Markets Authority.

Susan Edmunds

Tue, Dec 31st 2013 06:50AM

Sheriff Hughes ditches his horse for FMA departure

3 min read

Speech: Sean Hughes reviews the FMA's first three years

22 min read

Adviser-owned firm offered for sale

2 min read

Not true underperformance: Hope

2 min read

[Weekly Wrap] Looking ahead

2 min read

EDRs require long notice period

3 min read

Drug move draws comparisons

2 min read

More advisers may work together in 2014

2 min read

Questions about limited advice

3 min read

Managed funds rules costly

2 min read

Boost sector profile in 2014: Cortesi

2 min read

[Weekly Wrap] How much training do you need?

2 min read

Hope of FATCA reprieve

2 min read

$1.1m for advice software

2 min read

Skill level 'has dropped'

3 min read

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