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  1. 15 March 2023

    Business or individual with financial advisers

    Business or individual with financial advisers is a way you can operate under the new financial advice regime. Holding a financial advice provider licence in your individual name means you cannot call yourself a financial adviser and you will be personally responsible for any liabilities incurred as a financial advice provider, including liabilities for breach of legal duties (we will provide more information about this soon).See the licensing requirements; costs; duties and obligations, and next steps you should take here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  2. 15 March 2023

    Single adviser business

    Single adviser business is a way you can operate under the new financial advice regime. The licence can be in your business name (if, for example, you run your business through a company and your company will hold the licence with you as the individual adviser) or your individual name, if you personally hold the licence in your own name. See the licensing requirements; costs; duties and obligations and next steps to take here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  3. 15 March 2023

    Business with financial advisers and nominated representatives

    Business or individual with financial advisers and nominated representatives is a way you can operate under the new financial advice regime. See the licensing requirements; costs; duties and obligations and next steps you should follow here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  4. 15 March 2023

    Business with nominated representatives

    Business or individual with nominated representatives is a way you can operate under the new financial advice regime. See the licensing requirements; costs; duties and obligations, and next steps you should follow here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  5. 15 March 2023

    Providing advice on behalf of someone else

    Providing advice on behalf of someone else is a way you can operate under the new financial advice regime. See the licensing requirements, costs and next steps here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  6. 15 March 2023

    FAP licences Classes of financial advice service

    The FMA specifies three licence classes for financial advice providers (FAP): Class 1, Class 2 and Class 3. See section 395(2) of the Financial Markets Conduct Act 2013 as amended by the Financial Services legislation Amendment Act 2019 (FMC Act).
    Licence classes apply to the manner in which regulated financial advice may be provided but do not limit the types of financial advice that may be provided under the licence, as the latter is addressed by the competency requirements in the Code of Professional Conduct for Financial Advice Services.
    Tags
    Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF, Information Sheet

  7. 15 March 2023

    How to apply for a FAP licence

    This page provides a step by step process for how you apply for a FAP licence.
    Tags
    Financial Advice Provider, Licensing & registration, Roles, Business
    Type
    Page

  8. 14 March 2023

    Consultation on proposed exemptions for foreign listed issuers

    Consultation document from the FMA iseeking feedback on the need for, and the content of, proposed exemptions for foreign exempt issuers from climate reporting duties.
    Tags
    Consultations, Climate related disclosure, Business
    Type
    PDF

  9. 14 March 2023

    8 steps to apply for a FAP licence

    8-steps to apply for a FAP icence, downloadable PDF
    Tags
    Financial Advice Provider, Licensing & registration, Roles, Business
    Type
    PDF

  10. 14 March 2023

    Client money or property services provider

    A 'custodial service' is provided if client money or client property is held by a person in trust for, or on behalf of, a client (or another person nominated by the client) under an agreement. On this page you will find out more about custodial services or client property service providers; licensing and registration requirements; obligations and exemptions.
    Tags
    Compliance, New Financial Advice regime, Client money or property services provider, Obligations, Licensing & registration, Roles, Business
    Type
    Page

  11. 14 March 2023

    Feedback form Foreign listed issuers climate reporting exemptions

    Feedback form for those who wish to respond to the FMA Consultation: Proposed exemptions for foreign listed issuers from climate reporting duties.
    Tags
    Consultations, Climate related disclosure, Climate Reporting Entities, Business
    Type
    Word document, Feedback form

  12. 14 March 2023

    Financial advice regime obligations

    If you provide regulated financial advice to clients you will need to fulfil a number of duties. These duties aim to ensure all New Zealanders have access to quality financial advice, and to help build public confidence in advisers – a good thing for everyone.
    Tags
    Compliance, Financial Adviser, New Financial Advice regime, Client money or property services provider, Obligations, Roles, Financial Services Legislation Amendment Act (FSLAA), Financial Advice Provider, Business
    Type
    PDF, Information Sheet

  13. 14 March 2023

    Licensing guide - FAP

    This guide is for businesses and individuals intending to apply for a Financial Advice Provider (FAP) Licence.
    Tags
    Financial Advice Provider, Roles, Licence guide, Licensing & registration, Business
    Type
    PDF

  14. 14 March 2023

    Consultation: Proposed exemptions for foreign listed issuers from climate reporting duties

    The FMA is seeking feedback on the need for, and the content of, proposed exemptions for foreign exempt issuers from climate reporting duties by 5PM, 17 April 2023.
    Tags
    Consultations, Climate related disclosure, Ethical finance, Authorised body under a FAP, Discretionary investment management scheme (DIMS), Financial Institutions, Roles, Business
    Type
    Page

  15. 13 March 2023

    Market index exemption renewal feedback form

    Feedback form for consultation: FMA is seeking feedback on whether to renew a class exemption for MIS managers where assets do not have an appropriate market index.
    Tags
    Consultations, Roles, Business, Managed investment schemes, Supervisor
    Type
    Word document, Feedback form