The FMA emphasises the importance it gives to the governance and culture of entities in the financial services sector.
" We want to see that financial service providers demonstrate an appropriate customer-centric culture and improvements in governance, incentive structures, sales and advice processes and systems to mitigate conduct risk" - FMA Supervision Insights 2020 p.3
In this White Paper, we explore how directors of FAPs can ensure their companies are in good shape to serve their clients and meet the regulator’s expectations.
Key Topics and Interest Areas?
A clear understanding of directors legal and moral duties
Expectations of directors under your FAP licence
Planning the right governance work
The right information for decision making
How to maintain good records
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