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  4. 20 March 2023

    WARNING: Validus

    WARNING: Validus is not registered to provide financial services in New Zealand.
    Tags
    Suspected scam, Scams
    Type
    Page

  6. 17 March 2023

    Rock Wealths Limited

    INVESTOR WARNING: Rock Wealths offers investment plans with unrealistically high returns on crypto products and purports to be based in New Zealand but is not registered on the Financial Service Providers Register (FSPR).
    Tags
    Type
    Page

  7. 17 March 2023

    Financial advice regulatory regime - now in full effect

    Financial advice regulatory regime now in full effect and all financial advice providers (FAPs) must hold or operate under a full licence from the FMA if they want to provide regulated financial advice to retail clients.
    Tags
    Media release, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, New Financial Advice regime, Roles, Financial Services Legislation Amendment Act (FSLAA), Business, News & Insights, Nominated representatives
    Type
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  8. 16 March 2023

    How the FAP licence classes compare

    Before you apply for a Financial Advice Provider (FAP) licence, you’ll need to decide whether you want to be considered for a Class 1, Class 2, or Class 3 licence. Use this table as a general guide to help you determine the class of FAP licence that is best suited to you and your plans for your business.
    Tags
    Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  9. 16 March 2023

    Tanami Financial Services Limited

    Tanami Financial Services Limited is a DIMS
    Tags
    Reporting entities, Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page

  10. 16 March 2023

    Saxe Coburg Limited

    Saxe Coburg is a DIMS
    Tags
    Reporting entities, Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page

  12. 15 March 2023

    Business or individual with financial advisers

    Business or individual with financial advisers is a way you can operate under the new financial advice regime. Holding a financial advice provider licence in your individual name means you cannot call yourself a financial adviser and you will be personally responsible for any liabilities incurred as a financial advice provider, including liabilities for breach of legal duties (we will provide more information about this soon).See the licensing requirements; costs; duties and obligations, and next steps you should take here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  13. 15 March 2023

    Single adviser business

    Single adviser business is a way you can operate under the new financial advice regime. The licence can be in your business name (if, for example, you run your business through a company and your company will hold the licence with you as the individual adviser) or your individual name, if you personally hold the licence in your own name. See the licensing requirements; costs; duties and obligations and next steps to take here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  14. 15 March 2023

    Business with financial advisers and nominated representatives

    Business or individual with financial advisers and nominated representatives is a way you can operate under the new financial advice regime. See the licensing requirements; costs; duties and obligations and next steps you should follow here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  15. 15 March 2023

    Business with nominated representatives

    Business or individual with nominated representatives is a way you can operate under the new financial advice regime. See the licensing requirements; costs; duties and obligations, and next steps you should follow here.
    Tags
    New Financial Advice regime, Business
    Type
    Page