16th Annual Financial Markets Law Conference
INTEGRITY, EXCELLENCE AND COMPLIANCE WITHIN NZ’S FINANCIAL MARKETS
22 Oct 2020Aotea Centre, Auckland
- RBNZ's strategic priorities – financial system focus, growth and transformation
- Regulatory initiatives – what matters most post Covid-19
- Sustainable recovery and strategies to support: Climate risk, financial inclusion and role of institutions.
- FMA’s priorities post Covid-19
- Financial Institution conduct expectations - customer needs in changing times
- New Financial Advice laws – update on FSLAA transition and obligations
- The future for conduct? Conduct of Institutions legislation update
This case study aims to examine the competing arguments considered when the FMA chose to share compulsorily obtained information. Discussion of the High Court, Court of Appeal and Supreme Court decisions in ANZ Bank New Zealand Ltd v Financial Markets Authority.
- Review of NZ’s capital markets and plans to increase participation of firms and investors in our financial markets
- Growing New Zealand’s Capital Markets 2029
- Growth rate in NZ’s financial markets are below par compared to other OECD countries. How can we accelerate growth?
- What regulations are in place to promote growth?
- Review of the KiwiSaver default provider arrangements: How much impact will the new balanced default funds setting have in our financial markets and how much can the providers afford to lower fees?
- How much impact have COVID-19 made to the financial markets and how can we recover from it? What opportunities lie post COVID-19?
- Roadmap for good conduct in financial services leading up to the Financial Markets (Conduct of Institutions) Amendment Bill (CoFI)
- Exploring the difference in duty to comply with institutions vs intermediaries
- Discussing the difference in conduct for ‘financial advice’ vs ‘no advice’ models
- The role of the Code of Professional Conduct for Financial Advice Services and how disclosure has been shaped until today
Complaints to FSCL about financial advisers are on the rise. Is there a reason for this? What was the underlying cause of complaints and how did FSCL respond to these cases?
After a lengthy period of introductions of many new regulations in the financial markets, this panel aims to share experiences, lessons learnt and opinions on how the transition is working out and ways it could have been done better. It also addresses whether these regulations are effective or hindering the service to the customers in the financial markets.
- Sustainable finance forum report 2019: Climate change as a business imperative.
- Key aspects of climate change that influence customers’ investment decisions
- Social license to operate, corporate climate change strategy and TCFD reporting: How they benefit your organisation
- What have we learned as a business from using a digital advice tool as a distribution channel?
- What are the differences between humans and robots when it comes to legal and regulatory risk?
- Breaking away from paper based regulatory disclosure
- Current developments on the newly proposed Privacy Bill
- How does our new Privacy Bill compare to the Europe’s General Data Protection Regulation (GDPR)?
- How the Privacy Bill will affect organisations in the financial markets