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Guide to Financial Advice In this guide
If you provide regulated financial advice to retail clients you will either need a FAP licence, or to operate under another FAP’s licence. To help determine whether you will need a licence, refer to our website. If you are providing advice to wholesale clients only, you will not need a licence but certain duties will still apply.
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Standard Conditions for Full FAP Licences - FMA
www.fma.govt.nzadvice provider licences . If we grant you a full financial advice provider (FAP) licence, the licence will be subject to conditions. See section . 402 of the Financial Markets Conduct Act 2013 (FMC Act). Conditions will include: • a condition that the licensee or authorised body may, under the licence, only provide the
Amended Identity Verification Code of Practice 2013
www.fma.govt.nzThe Identity Verification Code of Practice (the code) was approved by notice in the New Zealand Gazette on the 1st day of September 2011 by the Ministers of Finance, Commerce and Internal Affairs under section 64 of the Anti-Money Laundering and
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