Regulations name: amended, on 1 July 2014, by regulation 4(2) of the Financial Service Providers (Fees and Levy) Amendment Regulations 2014 (LI 2014/201).

Anand Satyanand, Governor-General

Order in Council

At Wellington this 9th day of August 2010

Present:
His Excellency the Governor-General in Council

Note

The Parliamentary Counsel Office has made editorial and format changes to this version using the powers under subpart 2 of Part 3 of the Legislation Act 2019.

Note 4 at the end of this version provides a list of the amendments included in it.

These regulations are administered by the Ministry of Business, Innovation, and Employment.

Pursuant to sections 44 and 78A of the Financial Service Providers (Registration and Dispute Resolution) Act 2008, His Excellency the Governor-General, acting on the advice and with the consent of the Executive Council, and on the recommendation of the Minister of Commerce, and on the recommendation of the Minister of Consumer Affairs made after consultation in accordance with section 78A of that Act, makes the following regulations.

1	Title
2	Commencement
3	Interpretation
4	Application fee
5	Annual confirmation fee
6	Waiver of supplement
7	GST included
8	GST included [Revoked]
	Gazette Information
	Notes

Regulations

1 Title

These regulations are the Financial Service Providers (Fees) Regulations 2010.

Regulation 1: amended, on 1 July 2014, by regulation 4(2) of the Financial Service Providers (Fees and Levy) Amendment Regulations 2014 (LI 2014/201).

2 Commencement

These regulations come into force on 16 August 2010.

3 Interpretation

(1)

In these regulations, unless the context otherwise requires,—

Act means the Financial Service Providers (Registration and Dispute Resolution) Act 2008

applicant means a person making an application to be registered as a financial service provider

relevant person means, in relation to an applicant or registered financial service provider that is a body corporate or an unincorporated body, a controlling owner, director, or senior manager of the applicant or provider

supplement means the fee payable in respect of a criminal record check for the purposes of section 14 of the Act, which is carried out by the appropriate department at the request of the Registrar, being,—

(a)

in the case of an applicant or a registered financial service provider who is an individual or a corporation sole, $13:

(b)

in the case of an applicant or a registered financial service provider that is a body corporate or an unincorporated body, the sum of $13 multiplied by the number of relevant persons.

(2)

Any term or expression that is defined in the Act and used, but not defined, in these regulations has the same meaning as in the Act.

Regulation 3(1) supplement paragraph (a): amended, on 16 October 2025, by regulation 4 of the Financial Service Providers (Fees) Amendment Regulations 2025 (SL 2025/202).

Regulation 3(1) supplement paragraph (b): amended, on 16 October 2025, by regulation 4 of the Financial Service Providers (Fees) Amendment Regulations 2025 (SL 2025/202).

4 Application fee

The fee in respect of an application to be registered as a financial service provider under section 15 of the Act is $345 plus the supplement (unless the supplement is waived under regulation 6).

Regulation 4: amended, on 1 July 2017, by regulation 4 of the Financial Service Providers (Fees) Amendment Regulations 2017 (LI 2017/141).

5 Annual confirmation fee

The fee in respect of an annual confirmation of a registered financial service provider’s details under section 28 of the Act is $86.25 plus the supplement (unless the supplement is waived under regulation 6).

Regulation 5: amended, on 1 July 2017, by regulation 5 of the Financial Service Providers (Fees) Amendment Regulations 2017 (LI 2017/141).

6 Waiver of supplement

(1)

If the Registrar does not propose to check whether or not an individual or a corporation sole is disqualified under section 14(2)(d) to (f) of the Act, the Registrar must waive the supplement.

(2)

If the Registrar does not propose to check whether or not 1 or more relevant persons are disqualified under section 14(2)(d) to (f) of the Act, the Registrar must waive the supplement or, if checks are to be carried out on 1 or more relevant persons, part of the supplement (being the sum of $13 multiplied by the number of relevant persons in respect of whom no check is proposed).

Regulation 6(2): amended, on 16 October 2025, by regulation 5 of the Financial Service Providers (Fees) Amendment Regulations 2025 (SL 2025/202).

7 GST included

The fees set by these regulations include goods and services tax.

Regulation 7: replaced, on 1 July 2014, by regulation 5 of the Financial Service Providers (Fees and Levy) Amendment Regulations 2014 (LI 2014/201).

8 GST included

[Revoked]

Regulation 8: revoked, on 1 July 2014, by regulation 5 of the Financial Service Providers (Fees and Levy) Amendment Regulations 2014 (LI 2014/201).

Rebecca Kitteridge,
Clerk of the Executive Council.

Issued under the authority of the Legislation Act 2019.

Date of notification in Gazette: 12 August 2010.

Notes

1 General

This is a consolidation of the Financial Service Providers (Fees) Regulations 2010 that incorporates the amendments made to the legislation so that it shows the law as at its stated date.

2 Legal status

A consolidation is taken to correctly state, as at its stated date, the law enacted or made by the legislation consolidated and by the amendments. This presumption applies unless the contrary is shown.

Section 78 of the Legislation Act 2019 provides that this consolidation, published as an electronic version, is an official version. A printed version of legislation that is produced directly from this official electronic version is also an official version.

3 Editorial and format changes

The Parliamentary Counsel Office makes editorial and format changes to consolidations using the powers under subpart 2 of Part 3 of the Legislation Act 2019. See also PCO editorial conventions for consolidations.

4 Amendments incorporated in this consolidation

Financial Service Providers (Fees) Amendment Regulations 2025 (SL 2025/202)

Financial Service Providers (Fees) Amendment Regulations 2017 (LI 2017/141)

Financial Service Providers (Fees and Levy) Amendment Regulations 2014 (LI 2014/201)

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Financial Service Providers (Fees) Regulations 2010