FINSIA briefing series: Financial Advisers Regulation

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Auckland

Thursday, August 12th 2010, 6:20AM

The shape of financial adviser regulation

Explore the new regime for regulating financial advisers with a particular focus on the relationship between the regulator and the regulated. This will include discussion about:

• implementing the legislation - the new regulatory framework
• the Code of Professional Conduct - benchmark for AFAs and QFEs
• the role of the Commission - what happens post-licensing?

Speakers include:

• David Mayhew, Commissioner for Financial Advisers and Member of the Securities Commission, New Zealand
• Lloyd Kavanagh, Senior Partner, Minter Ellison Rudd Watts

Date: 12August

Venue: Minter Ellison Rudd Watts Level 20, Lumley Centre 88 Shortland Street AUCKLAND.

Click here to register or for more information.

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