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Introductory Guide to Full Licence Requirements
A licence holder and any Authorised Body may only provide the class of service to which the licence class relates. This means you need to choose the class that accommodates the way you, and each of your Authorised Bodies, intend to provide regulated financial advice to retail clients. For example, if an
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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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