| | Whether 1 or more of the following apply: (a) the applicant is applying to be registered under section 22C of the Act: (b) the applicant holds, or intends to hold, a market services licence that covers the financial advice service: (c) the applicant is, or intends to be, authorised to provide a financial advice service as an authorised body under a market services licence: (d) the applicant holds, or intends to hold, a transitional licence: (e) the applicant is, or intends to be, authorised to provide a financial advice service as an authorised body under a transitional licence: (f) the applicant is, or will be, required to be registered for a financial advice service but is, or will be, exempt under section 389(2)(a) of the FMC Act: (g) the applicant is, or will be, required to be registered for a financial advice service but is, or will be, exempt under section 389(2)(b) of the FMC Act or exempt from section 388(ba) of the FMC Act under an FMA exemption. In paragraphs (b) and (c), the references to a market services licence do not include a transitional licence. |
Regulated client money or property service (including a custodial service) (section 5(1)(ab) of the Act) | | Whether the applicant provides, or intends to provide, 1 or more of the following: (a) a custodial service that is a retail service: (b) a custodial service that is a wholesale service: (c) a regulated client money or property service (other than a custodial service) that is a retail service: (d) a regulated client money or property service (other than a custodial service) that is a wholesale service. In this item,— retail service means a service that is provided to a retail client (within the meaning of section 6(1) of the FMC Act) or to a class of clients where there is at least 1 retail client in that class wholesale service means a service other than a retail service. |
| | Whether the applicant provides, or intends to provide, the financial service in respect of either or both of the following: (a) consumer credit contracts: (b) non-consumer credit contracts. If the applicant provides, or intends to provide, the financial service in respect of consumer credit contracts,— (a) whether the applicant is certified under Part 5A of the Credit Contracts and Consumer Finance Act 2003 or whether an exemption from certification applies; and (b) if they are certified,— (i) the termination date of that certification: (ii) any conditions of certification: (iii) whether the certification is suspended. |
Being a mobile trader (within the meaning of section 5 of the Credit Contracts and Consumer Finance Act 2003) | | Whether that person is certified under Part 5A of the Credit Contracts and Consumer Finance Act 2003 and, if so,— (a) the termination date of that certification: (b) any conditions of certification: (c) whether the certification is suspended. |
Acting as a supervisor in respect of regulated products or financial products offered under an FMC offer (section 5(1)(ia)(ii) of the Act) | | Whether the applicant provides, or intends to provide, the financial service in respect of either or both of the following: (b) managed investment schemes. |
Acting as a manager of a registered scheme (other than a restricted scheme) (section 5(1)(ib)(i) of the Act) | | Whether either or both of the following apply: (a) the applicant holds, or intends to hold, a market services licence that covers the service of acting as a manager of a registered scheme: (b) the applicant is, or intends to be, authorised to provide that service as an authorised body. |
Acting as an independent trustee of a restricted scheme (section 5(1)(ib)(ii) of the Act) | | Whether either or both of the following apply: (a) the provider holds a market services licence that covers the service of acting as an independent trustee of a restricted scheme: (b) the provider is authorised to provide that service as an authorised body. |
| | Whether either or both of the following apply: (a) the applicant holds, or intends to hold, a market services licence that covers the service of acting as a provider of a discretionary investment management service: (b) the applicant is, or intends to be, authorised to provide that service as an authorised body. |
| | Whether either or both of the following apply: (a) the applicant holds, or intends to hold, a market services licence that covers the service of acting as a derivatives issuer: (b) the applicant is, or intends to be, authorised to provide that service as an authorised body. |
| | Whether 1 or more of the following apply: (a) the applicant holds, or intends to hold, a market services licence that covers a crowd funding service: (b) the applicant is, or intends to be, authorised to provide a crowd funding service as an authorised body: (c) the applicant holds, or intends to hold, a market services licence that covers a peer-to-peer lending service: (d) the applicant is, or intends to be, authorised to provide a peer-to-peer lending service as an authorised body. |
Acting as an administrator of a financial benchmark (section 5(1)(ib)(vi) of the Act) | | Whether either or both of the following apply: (a) the applicant holds, or intends to hold, a market services licence that covers the service of acting as an administrator of a financial benchmark: (b) the applicant is, or intends to be, authorised to provide that service as an authorised body. |
Acting as a custodian in respect of a registered scheme or a discretionary investment management service provided by a DIMS licensee (section 5(1)(ic) of the Act) | | Whether the applicant provides, or intends to provide, the financial service in respect of either or both of the following: (a) 1 or more registered schemes: (b) 1 or more discretionary investment management services. |
| | Whether 1 or more of the following apply: (a) the applicant holds, or intends to hold, a licence issued under section 316 of the FMC Act: (b) the applicant holds, or intends to hold, a licence issued under section 317 of the FMC Act: (c) the applicant operates, or intends to operate, a wholesale market that is exempt under section 312(1)(b) of the FMC Act: (d) the applicant operates, or intends to operate, under an exemption under section 312(1)(a) or (c) of the FMC Act or under an FMA exemption. |
Trading financial products or foreign exchange on behalf of other persons (section 5(1)(k) of the Act) | | Whether either or both of the following apply: (a) the applicant undertakes, or intends to undertake, trading activities on 1 or more licensed markets: (b) the applicant provides, or intends to provide, the financial service other than by undertaking trading activities on a licensed market. |
| | Whether either of the following applies: (b) the applicant provides, or intends to provide, the financial service without holding a licence issued under that Act. |
Providing a service of acting as a manager of a managed investment scheme (scheme A) where the service is the same, or substantially the same, as acting as a manager of a registered scheme (section 5(1)(ma) of the Act) | | Whether the applicant— (a) is, or will be, exempt from the requirement to provide the service under a market services licence because of an FMA exemption; or (b) offers, or will offer, interests in scheme A only to wholesale investors. |
Providing a service that is the same, or substantially the same, as acting as a provider of a discretionary investment management service (section 5(1)(ma) of the Act) | | Whether the applicant— (a) is, or will be, exempt from the requirement to provide the service under a market services licence because the service is provided only to wholesale investors; or (b) is, or will be, exempt from the requirement to provide the service under a market services licence because of an exemption under section 389(3)(b) of the FMC Act or an FMA exemption. |
Providing a service that is the same, or substantially the same, as acting as a derivatives issuer (section 5(1)(ma) of the Act) | | Whether the applicant— (a) is, or will be, exempt from the requirement to provide the service under a market services licence because of an FMA exemption; or (b) offers, or will offer, derivatives only to wholesale investors. |