Financial Advisers

Financial Service Providers Act 2008 and Financial Advisers Act 2008 Fees Regulations Discussion Document [ Published 13 October 2009 ]
This discussion document seeks feedback on proposals for fees regulations under the Financial Service Providers (Registration and Dispute Resolution) Act 2008 and the Financial Advisers Act 2008
Submissions received in response to the Discussion Document on Disclosure Regulations under the Financial Advisers Act 2008 [ Published 21 September 2009 ]
Submission on Implementation of the Financial Advisers Act and Financial Service Providers Act
Implementation of the Financial Advisers Act and Financial Service Providers Act [ Published 23 June 2009 ]
The discussion document seeks feedback on proposals for regulations under the Financial Advisers Act 2008. The regulations will specify the form and content of disclosure requirements for financial advisers.
Update on the Financial Advisers Act 2008
Sep 08: Update on the Financial Advisers Act 2008.
Cabinet Decisions on the Review of Financial Advisers
On 19 June 2007 Cabinet made decisions on the Review of Financial Intermediaries (now known as Financial Advisers – A New Regulatory Framework). Cabinet Papers, Media Release and Questions & Answers available.
Review of Financial Intermediaries
Jul 2006: After the findings of the Financial Intermediaries Task Force, Cabinet agreed in principle to the proposed co-regulatory framework and the Ministry carried out the detailed design work on the model.
Task Force on the Regulation of Financial Intermediaries
2004-2005: The Task Force was an independent group appointed by the Minister of Commerce to review the regulation of financial intermediaries. These web pages were developed by the Task Force and do not necessarily reflect the opinions of the Ministry.
Media Statements
Media statements issued as part of the Review of Financial Intermediaries.
Select Committee Process
April 2008: Documents created after the Financial Advisers Bill was referred to Select Committee.
Financial Advisers Bill and Financial Service Providers (Registration and Dispute Resolution) Bill: Supplementary Order Papers Report [ Published 05 November 2008 ]
The report sought the Minister's agreement to outstanding policy for inclusion in the Supplementary Order Papers, for the Financial Advisers Bill and the Financial Service Providers Bill.
Cabinet Documents
June 2007: Cabinet documents relating to the Review of Financial Intermediaries (Financial Advisers).
Regulatory Impact and Business Compliance Cost Statements
June 2007: Regulatory Impact and Business Compliance Cost Statements on the Review of Financial Intermediaries.
Financial Intermediaries Discussion Document: Summary of Submissions [ Published 05 April 2007 ]
Summary of submissions received on the discussion document on financial intermediaries.
Financial Intermediaries: Discussion Document [ Published 04 July 2006 ]
This document sets down possible options and details of the co-regulatory model, with government proposals, and questions about the costs and benefits of possible options. The closing date for submissions is now 1 October 2006.