Frequently Asked Questions (FAQs)
Frequently asked questions about the Financial Service Providers Register (FSPR).
Registration - who?
- Who must register as a financial service provider?
- Who does not have to register?
- Who cannot register?
- Who is a controlling owner?
- Who is a senior manager?
- Financial advisers operating through companies
- Participating in an FMC offer as an issuer or offeror of financial products
- Companies (and others) providing a financial service to a related body corporate
- Individual trustees of a trust or registered superannuation scheme
- How do companies in a QFE group structure register on the FSPR?
- Do I need to register as an individual if my employer is registered?
Registration - what?
- What is a financial service?
- What are the prerequisites for registration?
- Do I need to join a dispute resolution scheme?
- How does a dispute resolution scheme work?
- What is required in the application for registration?
- How much does registration cost?
- What information will show on the register?
- What is deregistration?
- What is the annual confirmation?
- What happens if I don’t register?
- What do the criminal history checks cover?
- I am completing two different registrations, do I need to pay for the criminal history check twice?
- Registration - when?
- Registration - how and where?
- Authorised Financial Advisers