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  3. 16 April 2019

    Financial Markets Conduct (RIS Group Limited) Exemption Notice 2019

    Financial Markets Conduct (RIS Group Limited) Exemption Notice 2019 exempts RIS Group Limited (RIS Group) from sections 461D and 461H(1) of the Financial Markets Conduct Act (Act) to an extent. Read more.
    Tags
    Exemptions, Secondary legislation, Business
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  8. 24 February 2018

    Financial Advisers (Australian Licensees) Exemption Amendment Notice 2018

    Financial Advisers (Australian Licensees) Exemption Amendment Notice 2018 comes into force on 24 February 2018, amends the Financial Advisers (Australian Licensees) Exemption Notice 2011 (the principal notice). Read more.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  10. 28 May 2020

    FMA warns financial adviser for advice to clients about COVID-19

    FMA has issued a formal warning to a financial adviser who made recommendations to clients that they urgently move their investments to ‘low risk’ funds in the wake of COVID-19. The adviser failed to clarify that the advice may not be suitable for all clients.
    Tags
    Financial Adviser, COVID-19, Media release, Roles, Business, News & Insights
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