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Licensing guide - FAP

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

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.

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.

Market index exemption renewal consultation paper

Consultation document: FMA is seeking feedback on whether to renew a class exemption for MIS managers where assets do not have an appropriate market index.

Du Val Capital Partners Limited and Du Val Group NZ Limited - Formal Warning

Formal warning issued to Du Val Capital Partners by the FMA on 10 March 2023.

KiwiSaver statistical returns user guide

User guide for KiwiSaver managers on completing the annual statistical return, covering income, fees, membership, fund data, and withdrawals.

FAP regulatory returns questions Class 2

Final regulatory return questions for Class 2 FAPs covering advice services, authorised bodies, outsourcing, complaints, and tech systems.

FAP regulatory returns questions Class 3

Final question set for Class 3 FAPs covering advice models, nominated reps, outsourcing, client property, digital advice, and cybersecurity controls.

FAP regulatory returns questions Class 1

Final question set for Class 1 FAPs detailing regulatory return requirements across advice services, complaints, outsourcing, and continuity.

Notice of approved auditing courses

FMA-approved auditing courses list for auditor licensing in New Zealand, including current and legacy qualifications from CAANZ, CPA, ICAEW, and more.

CoFI ID consultation feedback form

This consultation feedback form relates to the proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.

CoFI id guidance consultation paper

This consultation paper seeks feedback on proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.

Consultation CoFI id draft guidance

This DRAFT guidance document relates to the consultation seeking feedback on proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.

Validus - Interim Stop Order

INTERIM STOP ORDER made by the Financial Markets Authority (FMA) pursuant to section 465 of the Financial Markets Conduct Act 2013 (Act), issued to Validus.

Regulatory Impact Statement FAP Regulatory Returns

This document is for financial advice providers, financial advisers, and other interested parties. It discusses the regulatory reporting requirements as required by Standard Condition 3 for licensed financial advice providers.

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