Conduct
Financial Markets (Conduct of Institutions) Amendment Bill
Proposed FMCA Part 6 subpart 6AMBIE consultations
Conduct of financial institutions treatment of intermediaries (MBIE notes that the feedback from this consultation will be used to advise the Government whether amendments should be made to the Bill via Supplementary Order Paper at Committee of the Whole House stage later in 2021.)
Commentary by MinterEllisonRuddWatts (April 2021)
Financial advice
FMCA Part 6 subpart 5AFinancial Markets Conduct Act 2013 in particular:
Part 6 subpart 5A: Additional regulation of financial advice and financial advice services
Schedule 5: Other provisions relating to financial advice services and client money or property services
Financial Markets Conduct Regulations 2014 in particular:
Part 6 subpart 5: Disclosure for financial advice and financial advice services
Schedule 21A: Information to be disclosed when giving regulated financial advice to retail clients
Standard licence conditions: transitional and full. Also see FMA's introductory guide to full licence requirements and their webpage about the new financial advice regime.
Financial advice code which provides for minimum standards of professional conduct that must be demonstrated by persons who give regulated financial advice.