The Financial Markets Authority (FMA) has provided good insights into what they expect to see regarding record keeping via the publication of two new information sheets:

Monitoring of licensed Financial Advice Provider (FAP) Information Sheet

Record keeping for financial advice providers 

It is likely they will be out in force asking questions and building a data pool relating to who is doing a good job and who is dragging the chain. Strategi urges you to look at the quality of your record keeping once you are back from your holidays. We can assist with compliance assurance reviews, new processes and a consultation. Contact us as soon as you are ready to address this critical area – we are here to help.