Edited by Walker, GordonEdited by Pekmezovic, Alma
In 2008, following finance company collapses and the introduction of KiwiSaver, the New Zealand Government passed the Financial Advisers Act 2008 and the Financial Service Providers (Registration and Dispute Resolution) Act 2008 with the aim of improving the quality of investment... advice available to the New Zealand consumer. The legislation was substantially reworked in 2010 with the enactment of the Financial Advisers Amendment Act 2010 and the Financial Service Providers (Registration and Dispute Resolution) Amendment Act 2010. A rigorous regulatory regime is now in place setting high standards of competency, accountability and disclosure for financial advisers and brokers. This regime will have a considerable impact on the financial services industry, bringing with it a set of extensive compliance burdens. The New Zealand Securities Commission has estimated that about 23,000 industry participants will be affected. Financial Adviser and Broker Regulation in New Zealand is an essential resource for industry participants, providing a map of the new regime and key source materials in one place. It contains commentary on the key aspects of the new regulatory quilt, the two principal statutes, and the Code of Professional Conduct for Authorised Financial Advisers. Lawyers and accountants will also find this guidebook a useful point of departure and reference.Read more
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Professor Gordon Walker SJD (Duke) is Professor of Commercial Law at La Trobe University School of Law, Melbourne, Australia where he is also Director of the LLM in Global Business Law and the LLM for International Students programs. He has published widely on securities regulation and corporate law. Dr Alma Pekmezovic PhD (La Trobe) is a Lecturer in Law at La Trobe University School of Law. She is the author of a number of journal articles in the areas of corporate law, corporate governance and stock exchange regulation.
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