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This DRAFT guidance document relates to the consultation seeking feedback on proposed guidance that outlines our expectations when financial institutions are distributing products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.

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.

Guidance and expectations to help FMC reporting entities to meet their statutory requirement to keep proper accounting records at all times.

This guidance explains our approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services (the Code), in relation to financial advice about financial products purchased for investment purposes. It is particularly relevant to situations where it is difficult or impractical to access information to support reasonable grounds for financial advice on an investment product.

Feedback Form for Consultation paper Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements

This is the FMA 2021/2022 annual report. Our annual reports detail the results we have achieved against our stated intentions. Our annual reports are a great way to review our operational highlights for each financial year.

This document contains the questions you will be asked when applying for a Class 3 Financial Advice Provider full licence.