1. Compliance
  2. QFEs & QFE advisers
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Who needs to comply

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

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.