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  1. 14 March 2011

    First QFEs Granted

    The first Qualifying Financial Entities (QFEs) licences have been granted signalling the next step in the implementation of the new financial advisers regulatory regime.
    Tags
    Media release, News & Insights
    Type
    Page

  2. 26 July 2019

    New Zealand launches ‘investment passport’

    Kiwi investors and managed funds will now be able to do business more easily with Australia, Japan and Thailand, after New Zealand’s implementation of the Asia Region Funds Passport (ARFP).
    Tags
    Media release, News & Insights
    Type
    Page

  3. 15 February 2023

    FMA finalises regulatory return questionnaire for licensed Financial Advice Providers

    Following consultation on the proposed standard licence conditions for all classes of Financial Advice Providers (FAPs), the Financial Markets Authority (FMA) confirmed the information FAPs must provide in their regulatory returns.
    Tags
    Media release, Authorised body under a FAP, Financial Advice Provider, Roles, Business, News & Insights
    Type
    Page

  4. 2 June 2010

    Guide for Authorised Financial Advisers Released

    The Securities Commission today released the AFA Adviser Business Statement Guide to help financial advisers prepare for the new regulatory regime. The guide explains the document to be prepared by an adviser applying to become an Authorised Financial Adviser (AFA).
    Tags
    Media release, News & Insights
    Type
    Page, Guidance

  5. 17 November 2015

    Consultation paper: Proposed variations to standard conditions of market services licences

    Consultation paper: Proposed variations to standard conditions of market services licences. This seeks to gather views on proposed variations to the standard conditions for Financial Markets Conduct Act 2013 (FMC Act) licences
    Tags
    Roles, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Consultations, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Financial reporting

  6. 23 July 2021

    Vivier and Company Limited

    Vivier and Company Limited
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  9. 1 March 2021

    Property syndicates

    Joining a property syndicate can be an easy way to get into the property market, but there can be significant risk involved. Learn more before you start.
    Tags
    Property syndicates, Ways to invest, Investing, Consumer
    Type
    Page

  15. 15 March 2021

    Working with a financial adviser

    Learn what it's like working with an adviser. All advisers must follow the new Code of professional conduct for Financial Advice Services. The code says an adviser must: treat clients fairly, act with integrity,
    have competence, knowledge, and skill, give suitable advice, and ensure it’s understood properly. They must also protect client information.
    Tags
    Financial advice, Get advice, Investing, Consumer
    Type
    Page