Financial Services Retail Checklist

08 May 2024 12:00

With ongoing debate and amendments to both the incoming CoFI regime, the CCCFA, and the promise of a 2-phased reform approach on the horizon, keeping up with your requirements and demonstrating you’re compliant can be complex, time-consuming and no doubt, frustrating.

Navigate through this regulatory change with the latest checklist for the financial services industry from LexisNexis® Regulatory Compliance.

With updated content taken from our Financial Services for Retail Clients compliance register, this checklist provides you with a simple way to track your compliance obligations, and helps you identify any gaps. Covering obligations across topics like:

  • Conduct of Financial Institutions Regime (CoFI)
  • Climate reporting requirements
  • Fair dealing with consumers and consumer protections
  • Discretionary Investment Management Services (DIMS)
  • Managed Investment Schemes (MIS)
  • And much more!

Other financial services industry modules available include: Anti-bribery and Corruption, Financial Services – Corporate and Institutional Clients, Bank and Non-Bank Deposit Takers, Credit Reporting, Life Insurance, General Insurance and KiwiSaver.

Fill out the form to download the checklist.