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Document Library

A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1767 results. Displaying page 31 of 118

  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.

  5. 16 March 2023

    How the FAP licence classes compare

    FMA guide compares Class 1, 2, and 3 FAP licences to help financial advisers choose the right licensing option for their business.

  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.

  9. 14 March 2023

    Licensing guide - FAP

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

  10. 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.

  11. 14 March 2023

    8 steps to apply for a FAP licence

    FMA guide outlines 8 steps to apply for a Financial Advice Provider (FAP) full licence, covering licence classes, questions, and tips.

  13. 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.