Financial Advice Strand: Legislative framework
The legislative framework that all authorised financial advisers need to understand. It is also highly recommended for all RFAs and QFE advisers.
Assessment is via a 1-hour online multi-choice examination administered by Skills Organisation. To successfully complete this course, a candidate must pass every section of the examination plus achieve an overall percentage of 70% or more correctly answered questions.
Our comprehensive handbook is an ongoing reference guide to the relevant legislation, regulations and code relating to operating as a financial adviser. An electronic copy is included in the cost of the classroom course, with a printed copy available for an additional fee.
The classroom course will provide valuable guidance on how the assessment will be conducted, what you should expect, how to best prepare for it, plus insights into the Code of Professional Conduct, the Financial Advisers Act 2008, the Financial Service Providers Act 2008, the Financial Markets Conduct Act 2013, Anti-money Laundering and Countering Financing of Terrorism Act 2009, Privacy Act 1993, the Fair Trading Act 1986, and many more that are directly relevant to how you need to operate in the regulated environment.
- This course is one part of the new NZ Certificate Level 5 Financial Advice Strand. In order to complete this strand you must complete this assessment and the assessment relating to the Advice Process.
- The workshop fee below does NOT include the Skills Organisation exam fee. This is paid directly to Skills Organisation by candidates when booking their exam.