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It pays to take AML/CFT obligations seriously
by Nicole Greenslade - Wednesday, 22 February 2017, 11:22 AM

The recent FMA warning should be a timely wake up call for reporting entities and all financial advisers. FMA issued 12 formal warnings and has indicated it will take action if reporting entities fail to meet their AML/CFT obligations.

Radar (the Strategi Institute online education portal) has a...

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Conduct Outcomes Report 2016
by Nicole Greenslade - Monday, 20 February 2017, 1:42 PM

The Financial Markets Authority (FMA) has released the Conduct Outcomes Report 2016. This report outlines the key issues in the markets conduct and the actions taken by the FMA during July 2015 - June 2016. The purpose of this report is to provide a better understanding of the FMAs expectations of market conduct. To read the article please click here.

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January CPD Article Uploads
by Nicole Greenslade - Friday, 10 February 2017, 3:43 PM

We uploaded two new Radar articles last month, please see below: 


(Edited by Laurie Anderson - original submission Thursday, 9 February 2017, 5:05 PM)