Publication: QFE ADVISER BUSINESS STATEMENT GUIDE| Securities Commission


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Changes were made to the Financial Advisers Act by Parliament on 23 June 2010. As a result, the following material is currently under review by the Securities Commission.

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QFE ADVISER BUSINESS STATEMENT GUIDE

December 2009

CONTENTS

INTRODUCTION
What is this guide for?
BECOMING A QFE
Does my business have to become a QFE
What is an ABS?
What's for and against becoming a QFE?
How does my business become a QFE?
How do I prepare an ABS?
How will QFEs be regulated?
What happens next?
PREPARING PART 1 OF YOUR ABS: YOUR ADVISER BUSINESS
Overview of Part 1
Structure
Products and services
Customer types
Advisers
Delivery channels for products and services
PREPARING PART 2 OF YOUR ABS: GOVERNANCE AND COMPLIANCE ARRANGEMENTS
An overview of Part 2
The "if not, why not" analysis
People, Processes, Professionalism
PEOPLE: Recruitment
PEOPLE: Knowledge, skills and competence
PEOPLE: Supervision
PEOPLE: Performance management
PEOPLE: Reward
PROCESSES: Marketing
PROCESSES: Information for customers
PROCESSES: Suitability
PROCESSES: Servicing
PROCESSES: Complaints and compensation
PROCESSES: Operations
PROCESSES: Record keeping
PROFESSIONALISM: Governance
PROFESSIONALISM: Culture
PROFESSIONALISM: Compliance

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