Compliance
- AML/CFT
- Financial advice
- Conduct
- Consultation
- Cryptocurrencies
- Designations
- Discretionary Investment Management Services (DIMS)
- Exemptions
- Fees, levies and waivers
- Financial reporting
- Governance
- Guidance library
- KiwiSaver
- Licensed entities
- Licensing and registration
- Offer information
- Regulatory reporting
Compliance by role
- Auditors
- Authorised Financial Advisers
- Brokers and custodians
- Crowdfunding platforms
- Directors and officers
- Derivatives issuers
- Equity or debt issuers
- Financial advice providers
- Financial market infrastructures
- Fund managers
- Independent trustees
- Market operators
- Peer-to-peer lending providers
- QFEs & QFE advisers
- Registered financial advisers
- Supervisors
- Close
- 0800 434 567
- About us
-
Compliance
- Compliance by role
- AML/CFT
- Financial advice
- Conduct
- Consultation
- Cryptocurrencies
- Designations
- Discretionary Investment Management Services (DIMS)
- Exemptions
- Fees, levies and waivers
- Financial reporting
- Governance
- Guidance library
- KiwiSaver
- Licensed entities
-
Licensing and registration
- Registration
- Auditors
- Authorised Financial Advisers
- Crowdfunding
- Derivatives Issuers
- Discretionary Investment Management Services (DIMS)
- Financial advice providers
- Independent trustees
- Managed investment scheme (MIS) manager
- Market operators
- Peer-to-peer lending
- Qualifying Financial Entities (QFEs)
- Single person self-managed superannuation scheme
- Supervisors
- Checklist
- Offer information
- Regulatory reporting
-
Investors
- Investment - Understanding the basics
- Getting financial advice
- Ways to invest
- KiwiSaver and superannuation
- Life insurance
- Scams
- Resources
- News and resources
- Contact us
- Careers
