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Financial Advisers' Handbook (PBO)

Financial Advisers' Handbook (PBO)

Frank Chan, 2012

Available Formats

Format ISBN Price
Subscription NZBOOKFIAH POA

Practitioner Books Online are digital versions of hardcopy textbooks, accessible on the LexisNexis online database. With improved functionality to traditional ebook formats, PBOs allow multiple users to simultaneously access books online through a LexisNexis NZ subscription. When a new edition of a book is released, subscribers to the PBO will automatically receive the digital version. PBOs appear alongside your existing commentary titles in the LexisNexis database, and individual chapters can be downloaded as PDF documents.

Online books are available for purchase and activation through a LexisNexis representative. Please contact your Relationship Manager or Customer Support on 0800 800 986 to get a quote and purchase this subscription.

The Financial Advisers’ Handbook is intended as a practical guide for those potentially affected by the new financial services regime introduced by the Financial Advisers Act 2008 and the Financial Service Providers (Registration and Dispute Resolution) Act 2008.

Format: Practitioner Book Online

This title is also available in hardcopy and eBook formats.
ISBN: 9781927183052
eISBN: 9781927183113

Description

IMPORTANT NOTICE:
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The Financial Advisers’ Handbook is intended as a practical guide for those potentially affected by the new financial services regime introduced by the Financial Advisers Act 2008 and the Financial Service Providers (Registration and Dispute Resolution) Act 2008. The intended target audience is those seeking to become advisers or providers of financial services, whether existing offshore businesses or start-ups wishing to establish a presence in New Zealand. It is also intended as a guide for ongoing compliance purposes.

The chapters and sections of this book are ordered so as to answer commonly asked questions such as: does the law apply to me? how does it apply? what must I do to comply? This book highlights important practical aspects and provides user-friendly examples. It also includes practical tools, such as flow charts for compliance, standard compliance terms and conditions and relevant legislation including recent disclosure and exemption regulations.

 

Related Texts
Financial Advisers' Legislation

LawTalk #794 Review
LAWNEWS Issue 6 // 2 March 2012 Review

Author

Frank Chan is a director of FC Law Partners Limited. He is a commercial lawyer specialising in financial markets and related areas of law. Frank was admitted as barrister and solicitor of the High Court of New Zealand in 1987 after completing LLB and BCA degrees at Victoria University of Wellington. 

Table of Contents

Commentary

Chapter 1 Introduction

·        Chapter 2 Overview of the new regime and its genesis

·        Chapter 3 The FSPA

·        Chapter 4 The FAA

·        Chapter 5 The registration process

·        Appendix 1 flowcharts from FMA or Registrar of FSPA (TBC)

·        Appendix 2 Useful websites

Legislation  

  • Financial Advisers Act 2008
  • Financial Service Providers (Registration and Dispute Resolution) Act 2008
  • Financial Advisers (Code of Professional Conduct for Authorised Financial Advisers) Notice 2010
  • Financial Advisers (Definitions, Voluntary Authorisation, Prescribed Entities, and Exemptions) Regulations 2011
  • Financial Advisers (Australian Licensees) Exemption Notice 2011
  • Financial Advisers (Disclosure) Regulations 2010 (SR 2010/378)
  • Financial Advisers (Fees) Regulations 2010 (SR 2010/234)
  • Financial Service Providers (Registration) Regulations 2010
  • Financial Service Providers (Exemptions) Regulations 2010
  • Financial Service Providers (Fees and Levy) Regulations 2010


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