How to file an annual confirmation

Information you need to confirm or update

Before you start your annual confirmation, check the information that you need to confirm or update.

General details

Confirm that your trading name and addresses are still correct, including your FSP's:

• registered office address
• business address — the physical address that you provide financial services from
• address for communication, and
• email address.

Financial services and Dispute Resolution Scheme (DRS)

Check the financial services you offer, and, if you belong to a DRS, check your membership details.

You'll need to apply to the FMA for authorisation or licensing before you can become:

• an authorised financial adviser (AFA)
• Qualifying Financial Entity (QFE).

FMA details

You only see this section if you're already authorised or licensed, or applying to be authorised as an AFA or licensed as a QFE. 

Directors, controlling owners and senior managers

Check that the information about the people involved in your FSP is correct, including their:

• full legal name, and any other names they're known by or have been known by previously
• date of birth and gender
• residential address.

We may need to carry out a new criminal history check if you change the name or date of birth of a director, controlling owner or senior manager. Your annual confirmation can't be completed until the results of the criminal history check have been returned to us from the Ministry of Justice.

If your FSP is registered on another Companies Office register

You can't update details on the FSPR if they're sourced from another register for example the Companies Register. Update the following information on the relevant register:

• your entity's name
• registered office, and
• director names and addresses.

Other changes (eg, addition of directors) needs to be confirmed and submitted by an authorised user of the FSPR before they're updated. In this case, you will receive an email and a new item — a Companies refresh task — appears in My unfinished business on your dashboard.

FMA levy classes

Check which of the financial services you provide you need to pay an FMA levy for.

Disqualification declaration

You need to confirm that you or any other people involved in your FSP — your directors, controlling owner and senior managers aren't disqualified from being an FSP.

Filing your annual confirmation

To file an annual confirmation, you must have:

• a RealMe® login
• an online services account with the Financial Service Providers Register (FSPR)
• authority to act for your FSP.

There are 3 ways to find your annual confirmation:

• select File annual confirmation under the My tools menu on your dashboard
• find a link under My Unfinished Business, or
• search for your FSP, view its details and select the link to File annual confirmation in the orange box.

To file your annual confirmation, follow these steps.

1. Select the Review tab to check the details we hold for:
   • your general details
   • financial services you provide
   • Dispute Resolution scheme (DRS)
   • directors, controlling owners and senior managers
   • FMA levies.
2. If the information for a section is correct, select Confirm as correct. If you need to update the information, select Change details.
3. After you've updated your details, confirm the information you have provided is true, correct and complete, and then select Proceed to review to continue filing your annual confirmation.
4. Go to the FMA levy tab and select all the services that apply to your FSP. These determine the levies you need to pay. If you make an error, select Clear all at the bottom of the page to reset your selection.
5. When you've updated all the details and confirmed them, read the declaration about disqualification at the bottom of the Review page and select the confirmation option that applies to you. Then select Continue. The status of your declaration changes to Confirmed.
6. Select Submit and pay. The relevant fees are listed. Choose a payment option and complete the tax invoice details and other information.
7. Select Process payment.

We confirm that we've processed your annual confirmation and send a tax invoice by email.

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