Preparation for the New World

Expert Panel

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.
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Panellist

Angus Dale-Jones

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.

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Panellist

Barry Read

About Barry Read: Barry was founder of compliance firm IDS, which was sold to 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 and Financial Services Council. Barry is passionate about good financial advice and specialised in helping advice businesses manage their compliance, develop their advice processes and grow their businesses.
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Panellist

David Ireland

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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Panellist

James Sampson

About James Sampson: James is a serial entrepreneur passionate about data security, tech startups and NZ business. He has founded a number of award winning companies in the tech space and is Founder and CEO of fileinvite.com a cloud based document collection platform. FileInvite is used by advisers around the world to streamline gathering client documents, and simplifies adviser AML, KYC and compliance tasks. This puts James is in a unique position to see firsthand the global changes in data privacy, and how this is affecting advisers both here in NZ and around the world.

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