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Showing 1 - 10 of 52 results for "Professional Conduct"

Treasury mulls increased powers for TPB

ELIZA BAVIN  |  TUESDAY, 14 APR 2026
... registration in certain circumstances. It also seeks to introduce new civil penalties for breaches of the Code of Professional Conduct by registered tax practitioners and false or misleading statements by unregistered preparers. Th consult also suggests ...

TPB consults on AI usage rules

KARREN VERGARA  |  TUESDAY, 31 MAR 2026
... services are provided to a competent standard. To comply with the competency requirements in the Code of Professional Conduct and Determination 62/2026, tax practitioners must exercise their own professional judgement when advising clients and should ...

Another former Venture Egg adviser slapped with four-year ban

MATTHEW WAI  |  TUESDAY, 31 MAR 2026
A Victorian financial adviser, who was supervised by Ferras Merhi of United Financial Advice and Ferras Merhi Pty Ltd (Venture Egg), has been banned for four years over inappropriate advice and deceptive conduct, including impersonating other advisers. ...

ASIC freezes assets of First Mutual Private Equity

MATTHEW WAI  |  FRIDAY, 22 AUG 2025
... fairness and responsibility, we pride ourselves on synthesising the highest standards of trust, service and professional conduct," the website reads. The firm has eight active unit trusts listed on its website, with performance dated to an unspecified ...

Chief executive misbehaviour stifles investment returns

ANDREW MCKEAN  |  THURSDAY, 23 JAN 2025
... bullying and harassment, failed whistleblowing procedures, undisclosed investments, and systemic breaches of professional conduct. Picone noted that, whether true or not, these incidents - and the resulting speculation - carry potential financial consequences ...

Allegro unveils PwC entity as Scyne Advisory

CASSANDRA BALDINI  |  TUESDAY, 4 JUL 2023
... "PwC's claims of accountability and the purport of consequences for failing to meet appropriate standards of professional conduct offer a begrudging and belated response to actions which occurred, and which PwC was aware of, more than seven years ago," ...

NZ advisers begin new licensing regime

KARREN VERGARA  |  FRIDAY, 17 MAR 2023
... Amendment Act (FSLAA), which took effect in 2019. The act also mandates advisers to adhere to the Code of Professional Conduct for Financial Advice Services, the standards that set out expected ethical behaviour and competence, knowledge and skill. Hewes ...

TPB bans PwC partner over breach

CHLOE WALKER  |  MONDAY, 23 JAN 2023
... with "partners and staff in their tax practice. ""PwC breached its obligations under the law and the Code of Professional Conduct," it said. The TPB has since ordered PwC to have processes and training in place to ensure conflicts of interest are adequately ...

CFP Board welcomes new chair

KARREN VERGARA  |  FRIDAY, 14 JAN 2022
... regulatory actions, firm terminations, customer complaints, arbitrations, and civil court litigation that involve professional conduct, criminal matters, bankruptcies, civil judgments, and tax liens.

Risk advice most sought-after among Kiwis

KARREN VERGARA  |  THURSDAY, 15 APR 2021
... must also comply with new duties under Part 6 of the Financial Markets Conduct Act 2013, and the new Code of Professional Conduct for Financial Advice Services. Advisers must formally record their details on the Financial Services Providers Register ...
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