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Notice Type
Authorities/Other Agencies of State
Notice Title

Notice Under the Financial Advisers Act 2008

Pursuant to section 147B(d) of the Financial Advisers Act 2008, notice is given of the issue of a consultation paper on additional standard conditions for authorised financial advisers.

The Financial Markets Authority (FMA) considers that the additional standard conditions should apply to current authorisations of financial advisers to ensure that the policy intentions of the amendments to the Financial Advisers Act 2008 are complied with by authorised financial advisers.

The additional standard conditions would be incorporated into the standard conditions on the 28th day after notification of approval by the FMA of the additional standard conditions in the New Zealand Gazette.

The paper Personalised DIMS under the Financial Advisers Act 2008 can be downloaded from the FMA’s website at

www.fma.govt.nz/laws-we-enforce/policy/current-consultations/

Printed copies are also available from the Financial Markets Authority at Level 2, 1 Grey Street, Wellington, and Level 5, Ernst & Young Building, 2 Takutai Square, Britomart, Auckland.

Written submissions can be made to the Financial Markets Authority, PO Box 1179, Wellington 6140, or via email to

consultation@fma.govt.nz

Submissions close at 5.00pm on Tuesday 9 December 2014.

Dated this 18th day of November 2014.

ELAINE CAMPBELL, Director of Compliance, Financial Markets Authority.