A not-to-be-missed session on preparing for “the New World.” With a panel of expert speakers covering what your new legislative obligations mean in practice, how to prepare for your licensing application and what your Code of Conduct obligations mean in practical terms. Get a jump start on getting your business ready to go!
Additional speakers to be confirmed.
About Angus Dale-Jones: Angus Dale-Jones is chair of the Financial Advice Code Working Group. He is a former financial services regulator, a Chartered Accountant, and holds a Masters degree in Business and Technology from the University of New South Wales.
He worked for the Australian Securities and Investments Commission for 17 years, ultimately as Regional Commissioner of the Western Australian office. In 2008 Angus was appointed by the New Zealand Securities Commission (predecessor to the Financial Markets Authority) as director responsible for the implementation of the Financial Advisers Act. Since 2011 he has run his own compliance and conduct consultancy practice, while being a hands-on dad.
About Barry Read: Barry is now a senior compliance consultant with Strategi after the merger of compliance firm IDS and Strategi earlier this year. Barry started in the financial services industry in 1987 and worked for some of New Zealand’s leading Insurance and Investment companies. He has also performed various roles for the Institute of Financial Advisers, Professional Advisers Association, NZ Financial Advisers Association, The Skills Organisation (formerly ETITO) and Financial Services Council (formerly ISI). Barry is passionate about good financial advice and specialises in helping advice businesses around the country manage their compliance, develop their advice processes and grow their businesses.
About David Ireland: David is a partner in the Banking & Financial Markets team at law firm Kensington Swan, specialising in the regulation of financial advice, insurance, and investment offerings. He has chaired the Code Committee established under the Financial Advisers Act since 2012.
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