Compliance and advice – The Code of Professional Conduct for Financial Advice Services requires people who provide regulated financial advice to retail clients to meet certain standards of professional conduct and will follow the Financial Services Legislation Amendment Act (FSLA) 2019.

This is a lot of law to get across. McVeagh Fleming knows from experience that many are unaware of the full compliance requirements that relate to their business. Talk to McVeagh Fleming about how you can become fully compliant.

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Recent Insights

November 2023

Second-Tier Lending: Understanding the Fine Print

In today's financial landscape, banks are tightening their lending requirements, prompting many buyers to explore alternative options like second-tier lending. Mezzanine financers and other last-resort money lenders can provide vital financial support, but it's crucial to approach these agreements with caution and a clear understanding of the fine print. After all, surprises are for birthdays, not loan agreements!
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May 2019

Financial Advisers Must Comply With new Code of Professional Conduct From mid-2020

The Minister of Commerce and Consumer Affairs has released the content of a new Code of Professional Conduct for Financial Advice Services that should come into effect in mid-2020. The Code will require those persons who provide regulated financial advice to retail clients to meet certain standards of professional conduct, and will follow the commencement of the Financial Services Legislation Amendment Act 2019 ("FSLA").
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April 2017

Providing Financial Services or Financial Products in New Zealand

There are a large number of statutes that potentially apply to any business providing financial services or products in New Zealand. We are aware from prosecutions by regulators and from assistance that we have provided to clients, that many people are unaware of the full compliance requirements that relate to their business. In some cases, businesses may comply with one statute, but are unaware that there are other statutes that apply.
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