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1. 1 October 2014

   KiwiSaver Report 2014

   This KiwiSaver Report 2014 has been prepared in accordance with section 194 of the Act. It details the principal matters transacted under the Act during the period 1 July 2013 to 30 June 2014 (the Reporting Period), and contains the seventh annual summary of the statistical returns required to be lodged by KiwiSaver schemes under section 125 of the Act, as at 31 March 2014.

2. 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.

3. 4 November 2021

   Record keeping self assessment tool

   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.

4. 4 October 2021

   Self assessment tool cyber security and BCP

   Planning for all types of risk is an essential part of any business. As a financial advice provider, clients rely on you to ensure their information is secure, confidential, and available at all times. By taking the time to prepare for the unexpected, you’ll be able to get back on your feet quickly, protecting both your clients and your business. Use this self-assessment tool to see if you’re ready to complete the cyber security and business continuity planning 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. *