Skip to Content
Financial Markets Authority
Contact Us
Search
Keywords
Site Navigation
Home
Help Me Invest
Investing Basics
Types of Investments
Risks Involved in Investing
Getting the Right Information
Getting Financial Advice
KiwiSaver
Help Me Comply
Issuers
Trustees
Financial Advisers
Financial Service Providers
Brokers
Auditors
Futures Dealers
Superannuation
KiwiSaver
Anti-Money Laundering and Countering Financing of Terrorism Reporting Entities
Laws We Enforce
Legislation
Policy
Enforcement
Registers
Guidance Notes
Keep Updated
Newsroom
Reports and Papers
Warnings, Alerts and Scams
Statistics
Subscribe to Updates
About Us
Who We Are
What We Do
Accountability
Responsible Minister
Corporate Publications
Careers
Contact Us
Issuers
Trustees
Financial Advisers
Financial Service Providers
Who Needs to Comply?
How to Register
Your Obligations
Monitoring and Surveillance
Fees and Levies
Money Laundering and Financing Terrorism
Brokers
Auditors
Futures Dealers
Superannuation
KiwiSaver
Anti-Money Laundering and Countering Financing of Terrorism Reporting Entities
Home
/
Help Me Comply
/
Financial Service Providers
RSS Feed
Financial Service Providers
All financial service providers must comply with the requirements of the
Financial Service Providers (Registration and Dispute Resolution) Act 2008.
This includes a requirement to be registered on the Financial Service Providers Register.
Who Needs to Comply?
Information on what is meant by financial service provider and on the exemptions that apply.
Show More
about "Who Needs to Comply?"
How to Register
An introduction to the Financial Service Providers Register and a link to the site.
Show More
about "How to Register"
Your Obligations
You must be registered on the Financial Service Providers Register. You must also belong to a dispute resolution scheme if you have retail clients.
Show More
about "Your Obligations"
Monitoring and Surveillance
Our current monitoring focus for financial service providers and those on the perimeter of financial services.
Show More
about "Monitoring and Surveillance"
Fees and Levies
Individuals and entities required to be registered will need to pay fees.
Show More
about "Fees and Levies"
Money Laundering and Financing Terrorism
Show More
about "Money Laundering and Financing Terrorism"
