Articles tagged with 'FSPR'

Financial adviser deregistrations underway

1 July 2021 - Almost 10,000 financial service providers are now registered to provide financial advice in New Zealand according to the Companies Office, up by 748 from March 15 this year.

Looking forward to full licensing - but don't wait too long

9 June 2021 - Don't leave it up to your FAP, if you haven't been linked make sure they know because there are only five working days left before deregistration begins.

Keeping up - but not with the Kardashians

27 May 2021 - Education is one area we need to spend more time on than we have previously budgeted and considered, although we all knew it was coming.

FSPR deadline causes panic

21 May 2021 - The Financial Service Providers Register has threatened to de-list advisers who have not linked their registration to a financial advice provider or authorised body under the new regime, causing panic across the industry.

Industry ‘report card’ far from straight As says FMA

29 April 2021 - The FMA says just four new licences have been approved and two declined with one application dismissed due to a shoddy cut-and-paste job.

New FSPR reporting: What you need to know

30 March 2021 - Re-registering FSPs are required to declare if they are captured under the AML/CFT Act and who supervises them.

Unlicensed advisers need a contingency plan: FMA

9 March 2021 - One week out from regulation change the FMA is asking for unlicensed advisers to have a contingency plan, especially with the FSPR not operating at full capacity.

‘Director for hire’ sentenced for FSPR abuse

3 March 2021 - Michael Reps has been found guilty of fraudulent claims relating to the Financial Service Providers Register and sentenced to community detention and 90 hours' community work.

FSPR updates: What advisers need to know

18 February 2021 - Among the many upcoming regulation changes for advisers on March 15 are updates to the FSPR. 

Death of small advice firms exaggerated: FMA

7 August 2020 - Advisers who have registered for a financial advice provider service on the Financial Services Provider Register but who have not yet finished their application for a transitional licence are being reminded to keep moving.

As confusion reigns and opinions are strong, is it all a bit much?

31 October 2019 - There are so many options for advisers under the new regime; licensing, coming under a licence, packing it in, or working for a bank or insurer. Jon-Paul Hale says the answer is quite simple.

FMA takes FSPR action again

15 May 2018 - The Financial Markets Authority (FMA) has filed criminal charges against a second company and its New Zealand based director for breaching the Financial...

FMA takes FSPR action

27 February 2018 - The Financial Markets Authority has filed criminal charges against a company and its New Zealand-based director for breaching the Financial Service Providers...

Warning for would-be providers

6 September 2017 - Advice firms planning to apply for a license as a financial advice provider may need to think twice before they adopt a model that relies on nominated representatives.

Innovative Securities loses appeal

8 June 2017 - High Court rules in favour of FMA, but firm still boasts New Zealand registration on its website. 

FSPR changes mooted

13 July 2016 - Businesses are set to be required to offer financial services to New Zealanders, in New Zealand, if they want to appear on the Financial Service Providers Register.

Register under review

1 April 2015 - The Financial Service Providers Register is up for review after New Zealand regulators were forced to admit they did not know about the activities of a company registered on it that is now facing international market manipulation claims.

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