Solving the financial documentation compliance challenges

New Zealand Financial Advisers are facing significant regulatory changes due to the Financial Services Legislation Amendment Act 2019 (FSLA Act), New Zealand. This whitepaper will explore ways to meet the new requirements and better your client service.

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A wave of substantial regulatory changes is placing pressure on Financial Services firms to increase their focus on governance and compliance.

Under the new regime, anyone wishing to provide regulated financial advice to retail clients needs to ensure they are engaged by a licensed Financial Advice Provider (FAP) and adhere to the new conduct and competence requirements. The new compliance requirements are likely to significantly increase reporting, disclosure, recordkeeping and other demands placed on FAPs.

As a result, it has never been more important to have the ability to create detailed, accurate documentation with speed and efficiency.

This whitepaper explores how speech recognition solutions can help financial advisors & financial service organisations meet the new compliance mandates while reducing costs and improving client service.

Explore how speech recognition can help:

  • Reduce risk and improve compliance
  • Meet educational and behavioural obligations
  • Capture client notes anytime, anywhere
  • Customise for business‑specific needs and practices

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