CP 19 Licensing: The scope of the licensing regime (Financial product advice and dealing)

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Released 26 April 2001. Comment closed 7 June 2001.

This policy proposal paper considers how the licensing regime – Parts 7.6 to 7.8 of the Financial Services Reform Bill 2001 (the Bill) – will apply to financial product advice and dealing. The proposals are based on the Bill introduced into Parliament on 5 April 2001. These proposals will be reviewed if the Bill is changed in its passage into legislation.

The policy proposals cover:

What is 'financial product advice'? (Section A)
How is financial product advice regulated? (Section B)
Is the advice personal advice or general advice? (Section C)
What is dealing? (Section D)

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