Tag: client_assets

FMA Outlines Regulatory Priorities and Key Findings for Financial Advisers

1 Sep 2026 1:28 p.m. · Source: NZ Financial Markets Authority

The FMA's latest update details regulatory priorities, insights from FAP forums, and findings on client asset protection and monitoring. It highlights areas for improvement in vulnerability support, complaints, and disclosure, while also noting good practices.

Business Science & Technology Law Enforcement Economy Financial Markets Artificial Intelligence Legal Education FMA Financial Advice Regulatory Priorities Client Assets Consumer Protection NZ Financial Markets Authority
FMA Review Urges Stronger Oversight for Client Asset Protection

1 Sep 2026 10:24 a.m. · Source: NZ Financial Markets Authority

A new FMA review highlights the need for improved oversight, governance, and reporting by financial advice and discretionary investment management providers to better protect client assets and enhance investor confidence, despite general compliance.

Business Politics and Government Economy Financial Markets Legal General Politics Financial Markets Authority Client Assets Financial Advice Investment Management Regulatory Review Oversight NZ Financial Markets Authority