Financial Advisers

All financial advisers must comply with the requirements of the Financial Advisers Act 2008.

View the AFA Survey - summary of findings and FMA response.

View the Code of Professional Conduct (May 2014).
View the Code of Professional Conduct (December 2010).

View the exemption for the sole adviser practice.

Information on what a financial adviser is, who needs to comply, and a flowchart to help individuals work out their adviser type.

A link to the Financial Service Providers Register, plus the resources you need to become an AFA or to apply to be a QFE.

The common obligations for all advisers and the additional obligations that apply for each adviser type.

How we monitor, and our current focus for each adviser type and for those on the perimeter of financial advice and services.

The approach FMA takes to interpreting various requirements under legislation.

FMA has a formal complaints process if people or companies breach requirements. AFAs who breach the Code may also face the Disciplinary Committee.

Information on the licensing and ongoing fees RFAs, AFAs and QFEs must pay.

Guidance, existing exemption notices and how to apply for an exemption.

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