New Zealand's Financial Advice Regime

The regulatory framework for financial advisers has changed.

One of the changes is a new Code of Professional Conduct for Financial Advice Services (the Code) which sets revised standards of competence, knowledge, and skills for a person who gives financial advice.

 NZ2315 New Zealand Certificate in Financial Services (Level 5) (version 2) has been designed to meet those standards.

 The Code recognises both NZ2315 New Zealand Certificate in Financial Services (Level 5) (version 1) and NC1476 National Certificate in Financial Services (Financial Advice) (Level 5) as alternative qualifications.

 However, Standard 9 of the Code requires advisers with those qualifications to obtain an up-to-date understanding of the new regulatory framework for financial advice as part of their continuing professional development.

New Zealand Financial Advice Regime - CPD

To help advisers meet these requirements, Open Polytechnic is offering  the New Zealand Financial Advice Regime course, the Open Polytechnic’s continuing professional development course for financial advisers. 

 This course is fully online and costs $250 GST inclusive

For more information watch the course introduction video below.

 To help financial advisers meet these requirements, this fully online Continuing Professional Development course covers the following topics:

•  Registration and dispute resolution
•  Terms and participants in the new financial advice regime
• Duties and obligations
• Licensing and enforcement of the Financial Markets Conduct Act 2013
• The Code of Professional Conduct for Financial Advice Services
• Good conduct

How to enrol

Before enrolling in this course you need to:

• choose the qualification you will study the course under
• check the order that courses in the qualification should be studied in the Qualification Structure table. This is in the Choose courses and apply tab on the qualification page.