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FARs - where's the accountability? 30 Mar, 6:00am

It is appropriate for financial advice providers to be accountable for their financial advice representatives, because they are simply acting as a conduit between the provider and the client, the Ministry of Business, Innovation and Employment says.

FMA warns on AML, won't name and shame 9 Feb, 11:20am

Twelve reporting entities, including advisers and advice firms, have been handed formal warnings for breaches of the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) laws.

Client-first may be too big an ask for biggest players 27 Jan, 6:00am

Is "client first" too much of a challenge for vertically-integrated organisations, such as banks? David Whyte ponders whether it's time to provide a carve-out for sales, as opposed to advice.

Call for more scrutiny of regulators 15 Aug, 5:59am

Financial services providers are becoming ever more familiar with the Financial Markets Authority in its industry oversight role – but who is keeping an eye on the regulators?

Financial Planning