Financial Markets Authority AFA Update: Issue # 29

FMA releases latest AFA and QFE Monitoring Reports

The latest QFE and AFA Monitoring Reports have just been released and available to read.

Authorised Financial Advisers Monitoring Report 2014

Qualifying Financial Entities Monitoring Report 2014

 

Top tips to help complete your AFA Information Return

Only 15 days left to complete your Information Return!

Thank you to those AFAs who have already completed their Information Returns. For those who still need to submit theirs, you have only 15 days left to complete yours.

You can access the Information Return via our website or use this link and to help you complete yours on time we have listed some top tips below.

  1. Check you have your RealMe login details and individual FSP number (and if required your entity FSP number). After you login, it is your individual FSP number that you are required to input. When typing in your FSP number(s) you will need to enter the letters "FSP" followed by your number - e.g. FSP1234, then click on the green button "validate FSP number".
  2. Ensure you select all financial adviser service categories relevant to you when you complete your Information Return. This is because you cannot edit those categories once you have started. Refer to FAQ 23 for more information.
  3. Review and make any corrections to your Information Return before filing. If you do notice a mistake after you have filed your Return, you can complete your Return again and re-submit. Refer to FAQ 19 for more information.

Remember, all Returns must be submitted online by 5pm Tuesday 30 September so get started now. If you have any questions then please check our FAQs first. Otherwise please email your question to questions@fma.govt.nz or call us on 0800 434 567.