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University Open Polytechnic(OP)
Subject FSC522: The Regulatory Framework

Task 1

A . Regulated financial advice Do Nikau and Mia give regulated financial advice in this situation? Give reasons for your answer.

You are required to:

i. Explain whether Nikau gives financial advice and regulated financial
advice in this situation?
ii. Explain whether Mia gives financial advice and regulated financial advice
in this situation?
iii. Cite and explain the relevant section(s), including sub-section(s), of the
Financial Markets Conduct Act 2013 that supports your view.

B.  Disclosure In the case study, Nikau works through a client interview and provides disclosure at two different stages (Transcript 1 and Transcript 3).
I. Transcript 1: What information will Nikau disclose at this stage? You are required to:

  • Identify and explain four pieces of information Nikau’s disclosure
    the statement will include about him and Aotearoa Mortgages Limited, to
    meet obligations under the Financial Markets Conduct Regulations
    2014.
  • Ensure you use relevant information from the case study when explaining the information Nikau will disclose. Transcript 3: What information will Nikau disclose at this stage?

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