AGM and May Lunchtime Event

When:  May 7, 2021 from 12:00 to 14:00 (NZ)
Associated with  Auckland Chapter

Our lunchtime event for May 2021 will be held in conjunction with our Annual General Meeting (please see agenda below) on Friday, 7 May 2021, at ASB Cube and will be also streamed live via a virtual webinar. The link to the webinar will be shared with registered attendees.

Annual General Meeting Agenda

  1. Adoption of Minutes from previous Annual General Meeting (held June 2020)
  2. President’s report
  3. Treasurer’s Report including Audited Financial Statements to 31 December 2020
  4. Election of Officers and Board Members for 2021/2022
  5. Nomination and election of Auditor

Presentation Topic: FSLAA - Embedding the changes in the New Zealand Advice Sector

The Financial Services Legislation Amendment Act (FSLAA) is a major legislation change that came into force on the 15th March 2021 and the Financial Markets Authority (FMA) released full licensing requirements for financial advisers on 17 November 2020.

FSLAA affects anyone that gives financial advice in New Zealand including the New Zealand Automobile Association (NZAA), which have embarked on a two-year compliance transformational programme of work to meet FSLAA and its wider obligations, including the full licensing requirements.

During this presentation Wendy Bussen, the Programme Manager for Compliance Development Programme (CDP) and Rishad Smartt, Senior Risk Manager for the NZAA, will summarise the compliance transformation journey of the NZAA and have ‘cherry-picked’ licensing requirements that ISACA Auckland, and anyone wanting to apply for a full license, need to know about, including Business Continuity Planning, Cybersecurity, Outsourcing and Record-Keeping requirements.

Speaker: Wendy Bussen and Rishad Smartt

 

Wendy is an experienced programme manager having led transformation, compliance, digital and information technology programmes in NZ and Australia.

She has just completed a compliance programme for financial services at NZAA and before NZAA, lead programmes for ANZ, BNZ, ASB and Fletcher Building. 

Wendy has held general manager positions. She was GM Corporate Services at the Auckland Regional Council where she led a cultural change programme, transformed customer service, implemented SAP and launched new initiatives in communications and marketing. She headed a team of over 300 employees.

Wendy was also the Executive Director IT Services (CIO) for nine years at AUT University leading the provision of digital and technology services across the University and worked closely with other executive members on strategic initiatives.

Wendy is also a judge for the NZ CIO Summit awards contributing to the success of the IT industry in NZ. She is a judge for the CIO of the Year category and in previous years judged the Business Transformation through Digital and IT and Educational technologies.

 

Rishad is the Past President of ISACA Auckland and has worked in project teams across banks and other financial service institutions (both internal to the firm and external to the client) to uplift capability and capacity and to deliver risk and compliance transformation.

Rishad has worn many hats during his career, from helping banks and financial institutions achieve regulatory and licensing compliance, to providing internal audit services. Rishad also previously led the Risk and Compliance (Line 1) function for Westpac New Zealand - Operations and Contact Centre.

Rishad is a Certified Internal Auditor (CIA) and holds the CISA and CDPSE qualifications through ISACA. During 2019, Rishad was Chair of the 2019 Oceania CACS Conference, which is one of Oceania’s largest events for IS governance, assurance, and security professionals, which attracted international delegates in various roles including executive management, IS management, corporate governance, compliance, and risk management.

Outside of work, Rishad volunteers for his local Scouting group: Captain Musick Air Scouts in Half Moon Bay and runs the Kea scouts’ group on Monday evenings for Keas aged between 6-8 years of age, and for the Cubs aged 8-10 on Tuesdays.

We hope you will be able to join us for this event! 

Location

ASB North Wharf
12 Jellicoe St
Auckland