- Guidance Note: Client communications and record-keeping (December 2013)
- Guidance Note: Discretionary Investment Management Services (October 2013)
- Guidance Note: Sale and Distribution of KiwiSaver (October 2012)
- Guidance Note: Code Standard 6 (d) - Analysis before recommendation (December 2011)
- Note for Australian Licensees on Financial Advisers (Australian Licensees) Exemption Notice (July 2011)
- Guidance Note: Good Character and Criminal Convictions: Financial Advisers Act 2008 (March 2011)
- Guidance Note on Financial Advisers Act Exemptions (November
- Answers to technical questions
Links to topical guidance on other pages
Who Needs to Comply?
How to Get Licensed
- Disclosure obligations for RFAs and AFAs
- AFA advertising and Standard Condition 7
- Can mortgage brokers refer to KiwiSaver in their advertising?
- Continuing Professional Development requirements for AFAs
- Use of the term stockbroker