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  1. 30 March 2023

    Content and form of Disclose register information guidance

    This guidance note is for Issuers and advisers who are required to produce a register entry for an offer of financial products under the FMC Act 2013. It gives guidance on matters the FMA recommends you consider when producing your register entry.

  2. 27 March 2023

    AML/CFT FAQs

    Frequently asked questions answered about AML/CFT and obligations of reporting entities in New Zealand.

  3. 16 March 2023

    How the FAP licence classes compare

    Before you apply for a Financial Advice Provider (FAP) licence, you’ll need to decide whether you want to be considered for a Class 1, Class 2, or Class 3 licence. Use this table as a general guide to help you determine the class of FAP licence that is best suited to you and your plans for your business.

  4. 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.

  7. 14 March 2023

    Licensing guide - FAP

    This guide is for businesses and individuals intending to apply for a Financial Advice Provider (FAP) Licence.

  8. 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.

  9. 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.

  11. 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.

  12. 10 March 2023

    Financial Services Legislation Amendment Act 2019 (FSLAA)

    The Financial Services Legislation Amendment Act 2019 (FSLAA) introduces a new framework for giving financial advice in New Zealand. Read a summary of the changes, the FMA's role, who needs a licence and get information on how to apply for a licence on these pages.

  13. 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.

  14. 8 March 2023

    KiwiSaver statistical returns user guide

    The purpose of the KwiSaver annual statistical return user guide is to explain how to complete the return and provide clarity for areas that have previously been questioned or may be open to interpretation.

  15. 7 March 2023

    FAP regulatory returns questions Class 2

    This document provides an overview of the questions you'll be asked for when you submit your Class 2 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).