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1. 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.

2. 14 March 2023

   Client money or property services provider

   A 'custodial service' is provided if client money or client property is held by a person in trust for, or on behalf of, a client (or another person nominated by the client) under an agreement. On this page you will find out more about custodial services or client property service providers; licensing and registration requirements; obligations and exemptions.

3. 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.

4. 13 March 2023

   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.

5. 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.

6. 10 March 2023

   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.

7. 10 March 2023

   Financial Services Legislation Amendment Act 2019 (FSLAA)

   The Financial Services Legislation Amendment Act 2019 (FSLAA) introduces a new framework for giving financial advice in New Zealand. Read a summary of the changes, the FMA's role, who needs a licence and get information on how to apply for a licence on these pages.

8. 9 March 2023

   Explore your Financial Advice Provider (FAP) options

   The explore your options tool was created to help financial advice providers navigate the licensing options under the new financial advice regime. It covers some of the more straightforward ways you can operate.

9. 8 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.

10. 7 March 2023

    Investing basics

    Understand the basics of investing by working out what kind of investor you are and learning the skills to manage your investments confidently. Helping investors make better informed decisions.

11. 7 March 2023

    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.

12. 7 March 2023

    FAP regulatory returns questions Class 1

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

13. 7 March 2023

    FAP regulatory returns questions Class 2

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

14. 6 March 2023

    KiwiSaver annual statistical returns

    The purpose of this guide is to explain how to complete the KiwiSaver annual statistical return and the page provides a link to FMA's online services where you can complete your return online.

15. 28 February 2023

    Deciding how to invest

    Deciding how you wish to invest? Read about the three most important things to consider before you invest: risk, return and cost.