Financial Markets Conduct Regulations 2014

229C Information that must be publicly available


The purpose of this regulation is to give retail clients access to information that will help them to find a financial advice provider that meets their needs.


A financial advice provider (P) must make all of the applicable information set out in clause 4 of Schedule 21A publicly available.


P must also make that information available by providing it in writing on request from a member of the public.


P must comply with a request under subclause (3) as soon as practicable after receiving it.


The information made available under this regulation must include P’s name and contact details and be clearly identified as having been provided by P.


Subclause (2) does not apply if no Internet site is maintained by or on behalf of P.

Regulation 229C: inserted, on 15 March 2021, by regulation 12 of the Financial Markets Conduct (Regulated Financial Advice Disclosure) Amendment Regulations 2020 (LI 2020/132).