Advisers must always act with knowledge, competence and skill in their dealings with clients. Replacing a financial product, even when it is clearly in the client’s interests, can be a higher-risk area for both you and your client.
When it comes to recommending to a client a replacement KiwiSaver scheme what are the guidelines and processes you follow?
Angi will take you through what are the best-practice steps to
meet your legal obligations
demonstrate how you are placing the interests of your client first
document the process so you can defend your recommendations.
Angi will also touch on the proposed new draft Code Standards that are being introduced in 2019 and how they will impact your advice, especially when recommending a replacement KiwiSaver scheme.
About the Presenters:
Angi Mann (BA BBS Cert Adult Education) has extensive experience in financial services and is a qualified NZQA assessor.
Andrew Gunn Bcom MBA is Learning & Development Manager of the Association. Andrew has worked in this role for the IFA and now the Association and have assisted in the submissions to MBIE regarding the ‘Options’ and ‘Issues‘ Papers, the draft FSLAB Bill, Financial Advice Code and Disclosure Regulations.
An engaging three-day event you won't want to miss.