QFEs & QFE advisers

QFEs & QFE advisers

Qualifying financial entities (QFEs) are companies or organisations that are registered on the Financial Service Providers Register and have been granted QFE status.

Who needs to comply

An organisation that employs a number of financial advisers may want to become a QFE.

Calendar

See upcoming events and key dates.

Licensing

To become a QFE, a business must undertake a number of duties.  Find out more here.

Your obligations

See your obligations and terms and conditions here.

DIMS - all you need to know

To be authorised to provide a personalised DIMS service you must first meet the prescribed eligibility criteria. 

Financial advice

Putting investor interests first is at the heart of raising the standards of how financial advice is conducted.

QFE Advisers

QFE advisers are employees or nominated representatives of Qualifying Financial Entities (QFEs).  Find out more about what products they can sell and their obligations here.

Licensed QFEs

See the current list of businesses who have QFE status.

Fair dealing

Read how the FMC Act provides for fair dealing in relation to financial products and services and sets out minimum compliance standards of behaviour for people operating in the financial markets.

How we monitor QFEs

Our work focuses on the QFE's capacity to ensure compliance by its advisers. The current focus for QFE monitoring will be on 4 key areas.

AML/CFT and you

The Anti-Money Laundering and Countering Financing of Terrorism Act (AML/CFT Act) 2009 and its Regulations place obligations on New Zealand’s financial institutions to detect and deter money laundering and terrorism financing. Find out how it affects you.

 

Latest News

Fraud and its far reaching effects hit the big screen

20 September 2016

The inaugural New Zealand International Fraud Film Festival (Fraud Film Festival) is coming to Auckland’s Q Theatre in November. The festival is timed to coincide with November’s Fraud Awareness Week and will open on Friday, 18 November.

FMA releases conduct guide for feedback

28 July 2016

FMA has released a guide to how it will examine whether financial services providers are demonstrating good conduct under the Financial Markets Conduct Act (FMC Act).

FMCA licensing hits the home straight

14 July 2016

Media ReleaseMR No.2016 - 2014 July 2016 The deadline is looming for fund managers to get licensed under the Financial Markets Conduct Act (FMCA) and the Financial Markets Authority is putting out the final call to those that want to stay in the game. Under the FMCA, fund managers, discretionary investment management service providers and derivatives issuers must meet new governance and capability standards before 1 December 2016. Most firms have now com...

 

Latest Consultations

Consultation paper: A guide to the FMA's view of conduct

28 July 2016

We are seeking feedback on our conduct guide. The guide details how we will examine whether financial service providers are demonstrating good conduct under the Financial Markets Conduct Act (FMC Act).