Articles tagged with 'FSPR'

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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