Financial Advice Providers Guidance Documents

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1. • New Financial Advice Regime

   25 June 2020

   Registering correctly on the FSPR

   From the start of the new financial advice regimeon Monday 15 March 2021, the Government is removing the current adviser classifications: Authorised Financial Adviser, Registered Financial Adviser and QFE Adviser. If you want to continue providing financial advice to retail clients, you may need to update your registration details on the Financial Service Providers Register (FSPR). How you register will vary based on how you plan to operate in the new regime.

   https://fma.cwp.govt.nz/compliance/role/fap-new-regime/financial-advice-providers-guidance/registering-correctly-on-the-fspr/

2. • New Financial Advice Regime

   8 April 2020

   AFA Information Return – Questions

   This information sheet provides answers to your frequently asked questions about AFA Information Returns. It also provides a useful list of resources you may find useful as you go through the process.

   https://fma.cwp.govt.nz/compliance/role/fap-new-regime/financial-advice-providers-guidance/afa-information-return-questions-2/

3. • New Financial Advice Regime

   8 April 2020

   Reporting and Notifications Standard Conditions for Qualifying Financial Entities (QFEs)

   Reporting and Notifications Standard Conditions for Qualifying Financial Entities (QFEs) These reporting and notifications obligations relate to Sections 1 and 2 of the standard conditions.

   https://fma.cwp.govt.nz/compliance/role/fap-new-regime/financial-advice-providers-guidance/reporting-and-notifications-standard-conditions-for-qualifying-financial-entities-qfes/