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  1. 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.

  2. 14 July 2025

    Financial Advice Provider (FAP)

    A financial advice provider (FAP) is an individual or entity (e.g. a company) that provides a financial advice service. Find out more about licensing, registration, costs and ongoing obligations as well as how to comply with the new Code of Professional Conduct for financial advice services including competence, knowledge and skill requirements as well as requirements for ethical behaviour, conduct and client care.

  3. 1 February 2014

    Broker Obligations guidance note

    The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.

  9. 16 March 2015

    Contingency DIMS seminar presentation

    FMA seminar on contingency DIMS explains discretionary services, licensing exemptions, compliance duties, and client agreement rules.

  10. 19 February 2015

    FMA DIMS seminar presentation

    FMA seminar outlines definition of DIMS, DIMS types, licensing, contingency exemptions, and client agreement requirements for financial advisers.

  13. 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.

  15. 1 May 2020

    Roger Gannon - Formal Warning

    FMA warns Roger Gannon for breaching disclosure and care duties under the FA Act when advising KiwiSaver clients during the COVID-19 pandemic.