Filing your annual confirmation online

When an annual confirmation is due the Registrar will send the FSP an email reminding them it's time to file their annual confirmation.

To file your annual confirmation you will need:

1. To be registered to use the website.  Read more…
2. To have authority over that FSP.  Read more…

Step 1 | Select the FSP

To begin filing your annual confirmation you must first logon to the website and search for the FSP you wish to file an annual confirmation for.

From the Online Services – Do It Now menu choose Search For FSP.

Find the FSP by entering some search criteria (for example, either the FSP name or the FSP number).

From the Search Results select the FSP to update.

To begin filing your annual confirmation select the My Tools menu on the FSP details page then choose File Annual Confirmation.

Note | If you were sent a reminder to file your annual confirmation the FSP will appear in your My Unfinished Business (MUB).  Simply click on the FSP name in your MUB to begin filing your annual confirmation.

Step 2 | File your annual confirmation

To file your annual confirmation you need to check and, if necessary, update some or all of the following information about the FSP:

• Your general details
• The financial services you offer
• Financial Markets Authority details
• Dispute resolution scheme you are a member of
• Directors
• Controlling owners and senior managers

General details

Confirm the registered addresses for your FSP are still correct.  The required addresses include:

• Registered office address
• Business address and
• Address for communication.

You can also update your trading name and email address.

Note | If you are a New Zealand Registered Entity you should change these details (excluding trading name) on the Companies Office website prior to filing your annual confirmation. The changes you have made will show on the FSP Register the next working day.

If all of the details are correct tick the Confirm as Correct box to move on to the next section.

Financial Services

This section contains information on the financial services you offer and the dispute resolution scheme you belong to, if any.

If any of the details in this section are incorrect select Change Details to make the required amendments.

Note | If you add either a Financial Adviser Service or Employer of financial adviser/QFE to the list of financial services you offer then you will need to answer the question on the following screen regarding authorisation, and complete the steps to obtain authorisation if required.

If all of the details are correct tick the Confirm as Correct box to move on to the next section.

Financial Markets Authority Details

This section contains the extra information required for Authorised Financial Advisors and QFE’s.  You will only see this section if you are already authorised, or applying to be authorised.

Directors

The directors of your FSP will be displayed in this section and should align with the information on the Companies Office register.  If incorrect you should change these details on the Companies Office website prior to filing your annual confirmation. The changes you have made will display on the FSP Register the next working day.

Changing director details may result in a new criminal history check being carried out, a fee will apply and the annual confirmation will not be able to be completed until the results of the criminal history check have been returned.

If all of the details are correct tick the Confirm as Correct box to move on to the next section.

Controlling owners and senior managers

Note | Described below is the new procedure from Monday 19 September 2011.

If any of the details for listed controlling owners and senior managers of your FSP are incorrect you can change these during the process of filing your annual confirmation.  Changing controlling owner and senior manager details may result in a new criminal history check being carried out and a fee will apply.

If all of the details are correct tick the Confirm as Correct box to move on to the next section.

Disqualification declaration

The final step to filing your annual confirmation requires you to confirm the entity is not disqualified from being a Financial Service Provider. Click on the declaration to read the reasons for disqualification and confirm the information you are providing is true and correct.

Note | If you are filing the annual confirmation on behalf of an FSP it is your responsibility to ensure you have made all the necessary enquiries to ensure the information provided is true and correct.

Click Continue.

Step 3 | Submit and pay

The final step in filing your annual confirmation is to Submit and Pay.  Read more about fees...