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Who's involved in the FSPR?

The agencies and government departments behind the FSP regime. 

Register and website

The Registrar of Financial Service Providers is also the Registrar of Companies, and so the Companies Office has built this website and is responsible for administering the electronic register.

Visit the Companies Office website

 

Dispute Resolution Schemes

As part of the new regime, most financial service providers will need to belong to an approved Dispute Resolution Scheme. The purpose of these schemes is to offer the consumer a greater level of confidence and protection when dealing with financial service providers. Consumer Protection is responsible for approving the schemes.

Visit the Consumer Protection website

 

Financial Advisers and QFEs

The Financial Markets Authority (FMA) is responsible for the authorisation and supervision of the largest subset of financial service providers - financial advisers. Depending on the services an adviser provides, and the risk profile of the products they give advice on, they may only need to be a registered financial adviser, but many will also need to be authorised by the FMA.

The FMA will also look after the regime for Qualifying Financial Entities or QFEs. An organisation might want to become a QFE if they employ a large number of financial advisers. The QFE would be responsible for the competence of those advisers working for them, rather than having all of them apply separately for registration and authorisation.

Visit the Financial Markets Authority (FMA) website

 

Contact details for agencies

Registration, logons, and fee payments

Contact the Financial Service Providers Register: 

Ask us a question online or phone the FSPR on 0508 FSPR INFO (0508 377 746) (within New Zealand) or +64 3 962 6162 (international callers)

Call us now for FREE on Skype:

Skype  

 

Authorised Financial Advisers (AFAs) and Qualifying Financial Entities (QFEs)

The Financial Markets Authority website: http://fma.govt.nz

The Financial Markets Authority financial adviser helpline, phone 0800 434 567 (within New Zealand) or +64 3 962 2698 (international callers).

Helpline hours of business are 8:30am to 5pm Monday to Friday.

 

AFA competence requirements 

The Skills Organisation website: http://skills.org.nz

 

Financial adviser code

Code committee website: www.financialadvisercode.govt.nz

 

Dispute Resolution Schemes

Consumer Protection - Dispute Resolution

http://www.consumerprotection.govt.nz/for-business/compliance/selling-credit-or-consumer-loans/financial-dispute-resolution

email: cpinfo@mbie.govt.nz   

+64 4 474 2750

 

Legislation

Financial Service Providers (Registration) Regulations 2010

Financial Service Providers (Registration and Dispute Resolution) Amendment Act 2010

Financial Service Providers (Pre-Implementation Adjustments) Bill

Financial Service Providers (Registration and Dispute Resolution) Act 2008

Financial Advisers Act 2008

 

Last updated 18 November 2016