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Example: "How do I apply for a financial institution licence?", "FMA Annual Report 2024"
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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.
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.
The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has formally censured Wellington-based financial services firm FoxPlan Ltd, after one of its nominated representatives provided services he was not permitted to give and other representatives offered services to clients they were not permitted to give.
This notice exempts Booster Financial Services Limited (BFSL) and its nominated representatives from certain provisions of the Financial Markets Conduct Act 2013, in relation to the new financial advice regime. The effect of the notice is that BFSL is permitted to have nominated representatives under a transitional licence, and it and its nominated representatives have the benefit of the transitional regime’s competency safe harbour.
This guide is for businesses and individuals intending to apply for a Financial Advice Provider (FAP) Licence.
This document contains the questions you will be asked when applying for a Class 3 Financial Advice Provider full licence.
This consultation is for any person giving regulated financial advice or providing client money or property services, and their advisers and interested parties. It seeks feedback on proposed exemption support for the new financial advice regime.