2014/333
Jerry Mateparae, Governor-General
At Wellington this 3rd day of November 2014
Present:His Excellency the Governor-General in Council
Pursuant to sections 29A, 42, 54(a)(iiia), and 154(1)(a), (ga), (gb), (gd), and (3) of the Financial Advisers Act 2008, His Excellency the Governor-General makes the following regulations, acting—
(a) on the advice and with the consent of the Executive Council; and
(b) on the recommendation of the Minister of Commerce and Consumer Affairs made in accordance with section 154(4) and (5) of that Act.
1 Title
2 Commencement
3 Interpretation
4 Transitional, savings, and related provisions
Eligibility criteria for being authorised for providing personalised DIMS
5 Eligibility criteria prescribed
Client agreements governing personalised DIMS provided to retail clients
6 Client agreements must provide for certain matters
Further information to be made available to retail clients provided personalised DIMS
7 Ongoing reporting information
8 How ongoing reporting information to be made available
9 Annual reporting information
10 How annual reporting information to be made available
11 Obligations under Financial Advisers (Disclosure) Regulations 2010
ScheduleTransitional, savings, and related provisions
Explanatory note
Administrative information