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This investor guide tells you what you need to know before investing in a new share offer

Keeping accurate records of the financial advice you provide helps maintain a relationship of transparency and trust with your clients. It also ensures you can provide evidence of how you have complied with your licensee obligations as and when required. Use this self-assessment tool to see if you’re ready to complete the record keeping section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.

As a small business, we expect you’ll need to outsource some functions to third parties. It’s important that you protect your reputation and your clients by conducting robust background checks, putting contractual agreements in place, and performing regular reviews to ensure suppliers of key functions are up to the task and can meet your expectations and Financial Advice Provider (FAP) obligations. As a FAP, you remain responsible for any functions that you outsource.

Corporate Trustees Exemption Notice 2021

Fonterra Shareholders Fund Exemption Notice 2021

FMA guidance on advertising financial products under the FMC Act, covering fair dealing rules, disclosure, and compliance expectations.

Financial Markets Conduct (Kiwibank Limited-Offer of PPS) Exemption Notice 2021