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1. 7 March 2023

   FAP regulatory returns questions Class 3

   This document provides an overview of the questions you'll be asked for when you submit your Class 3 FAP Regulatory Return. The regulatory returns are due by 30 September for the 12-month period from 1 July to 30 June (period of return).

2. 2 April 2024

   Amendment Notice NZX Listing rules 3 2024

   Amendment Notice NZX Listing rules 3 of 2024

3. 18 January 2023

   FAP Licensing Application Guide Class 3 questions

   FAP Licensing Application Guide Class 3 questions: This document contains the questions you will be asked when applying for a Class 3 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.

4. 5 July 2022

   FMA consultation on Code Standard 3 Guidance

   Consultation paper: Proposed guidance on reasonable grounds for financial advice about IPOs and listed equity securities

5. 31 July 2023

   Standard 3 Framework for the comprehensive management of risks

   Standard 3 Framework for the comprehensive management of risks for designated Financial Market Infrastructures (FMIs),

6. 1 August 2013

   practical implications of factsheet on managing intermediaries feedback 3 1

   Response to Consultation by AMP Capital: Practical Implications of Factsheet on Managing Intermediaries feedback.

7. 9 September 2022

   Feedback form regulatory returns for licensed Class 3 financial advice providers

   Feedback form for public consultation on the proposed regulatory returns that licensed Class 3 financial advice providers will be required to provide to the FMA

8. 9 September 2022

   Consultation paper on proposed Regulatory returns for licensed Class 3 financial advice providers

   Public consultation on the proposed regulatory returns that licensed Class 3 financial advice providers will be required to provide to the FMA

9. 28 February 2014

   Expense disclosure CE other 2014 jan feb

   CE expenses disclosure for the period 1 January 2014 - 3 February 2014

10. 28 February 2014

    Expense disclosure CE travel 2014 jan feb

    CE expenses disclosure for the period 1 January 2014 - 3 February 2014

11. 30 July 2013

    Expense disclosure CE 2013 jan jun

    CE expenses disclosure for the period 1 January 2013 - 3 June 2013

12. 1 August 2013

    New Zealand Bankers Association submission

    Response to consultation, New Zealand Bankers Association, 3 Aug 2013: Draft factsheet on managing intermediaries

13. 9 September 2022

    Proposed annual regulatory return information to be provided by licensed CLASS 3 FAPs to the FMA (questions)

    Proposed annual regulatory return information to be provided by licensed CLASS 3 Financial advice providers (FAPs) to the FMA

14. 13 December 2023

    Financial Markets Conduct FSM Listing Rules Approval of Rule Change Notice 2023

    This notice is the Financial Markets Conduct (FSM Listing Rules) Approval of Rule Change Notice 3/2023.

15. 3 December 2014

    ANZ Bank New Zealand Limited - Settlement Agreement

    Settlement Agreement with ANZ Bank New Zealand Limited regarding interest rate swaps sales to certain rural customers, 3 December 2014.