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  1. 15 March 2021

    Start to new licensing regime for financial advice

    The Financial markets Authority (FMA) welcomes the start of the new financial advice regime from 15 March 2021. Under the new regime, anyone who gives regulated financial advice to retail clients must either hold, or operate under, a Financial Advice Provider licence. All providers of financial advice are now subject to the same obligation to place the interests of their clients first and must adhere to a new Code of Conduct.
    Tags
    Licensing & registration, Financial Services Legislation Amendment Act (FSLAA), Media release, Business
    Type
    Page

  2. 15 August 2019

    Consultation New financial advice regime exemptions

    This consultation is for any person giving regulated financial advice or providing client money or property services, and
    their advisers and interested parties. It seeks feedback on proposed exemption support for the new financial advice regime.
    Tags
    New Financial Advice regime, Authorised body under a FAP, Client money or property services provider, Financial Advice Provider, Consultations, Roles, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    PDF

  3. 1 December 2020

    Who will need a licence to provide financial advice

    The changes to how we regulate financial advice in New Zealand mean only those operating under licensed financial advice providers can give advice to retail clients. This fact sheet was drafted by the FMA ahead of the new financial advice regime to assist in helping navigate the new regime as a potential licence holder.
    Tags
    Financial Adviser, Roles, Financial Advice Provider, Licensing & registration, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    PDF, Information Sheet

  5. 24 September 2020

    John Botica speaking at the Financial Advice New Zealand 2020 Conference: Bounce

    Speech notes: John Botica speaking at the Financial Advice New Zealand Conference on 24th September 2020.
    Tags
    Financial Adviser, New Financial Advice regime, Roles, Speeches and presentations , Financial Advice Provider, Financial Services Legislation Amendment Act (FSLAA), Business, News & Insights
    Type
    Page

  6. 1 December 2020

    Who will need a licence to provide financial advice?

    Only those operating under licensed financial advice providers can give advice to retail clients. This advice can be provided in various ways, including directly through online facilities such as digital advice, or through financial advisers or nominated representatives.
    Tags
    Financial Advice Provider, Licensing & registration, Roles, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    Page, Guidance

  7. 25 June 2020

    FMA welcomes start date of new financial advice regime and confirmation of disclosure requirements

    The Financial Markets Authority (FMA) is encouraging advisers to apply for their transitional licences by the end of the year, as the Government announces the start date to the new financial advice regime. Read the full media release here.
    Tags
    Financial advice, New Financial Advice regime, Media release, Financial Services Legislation Amendment Act (FSLAA), Financial Advice Provider, Roles, Business, Consumer, News & Insights
    Type
    Page

  8. 24 August 2022

    '5 mins with the FMA' podcast #2: Conduct of Financial Institutions (CoFI)

    FMA’s Director of Banking and Insurance Conduct, Clare Bolingford, talks about the Conduct of Financial Institutions (CoFI) regime in this FMA podcast.
    Tags
    Podcast, Financial Adviser, Banking, Insurance Providers, Roles, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Managed Investment Schemes, Business, Managed investment schemes, News & Insights
    Type
    Page, Podcast

  9. 30 November 2022

    FMA progressing CoFI implementation with publication of licensing materials

    The FMA is continuing to progress preparations for the Financial Markets (Conduct of Institutions) Amendment Act 2022 (CoFI), with the release of a suite of materials for financial institutions.

    Tags
    Banking, Media release, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Managed Investment Schemes, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page

  10. 17 November 2021

    New self-assessment tools aim to boost success of financial advice providers

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has released three new self-assessment tools to help financial advice providers (FAPs) prepare for full licensing.
    Tags
    Financial Advice Provider, Roles, Media release, Financial Services Legislation Amendment Act (FSLAA), Business, News & Insights
    Type
    Page

  11. 9 March 2023

    Explore your Financial Advice Provider (FAP) options

    The explore your options tool was created to help financial advice providers navigate the licensing options under the new financial advice regime. It covers some of the more straightforward ways you can operate.
    Tags
    Financial Advice Provider, Financial Adviser, New Financial Advice regime, Licensing & registration, Roles, Authorised body under a FAP, Financial Services Legislation Amendment Act (FSLAA), Business, Interposed persons under new financial advice regime, Nominated representatives
    Type
    Page

  12. 17 June 2020

    FMA opens consultation on standard conditions for full licensing for financial advice

    The Financial Markets Authority (FMA) has opened consultation on the proposed full licence standard conditions for Financial Advice Providers, as part of the new financial advice regime.
    Tags
    New Financial Advice regime, Media release, Consultations, Financial Services Legislation Amendment Act (FSLAA), Business, News & Insights
    Type
    Page