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The Company was initially authorised in 1999 by the former Securities Commission as an Authorised Introducing Broker with the NZ Futures & Options Exchange, then as an NZX Futures & Options Participant Firm. In 2011, the Financial Markets Authority accredited the Company as an Authorised Futures Dealer. In 2015, the Financial Markets Authority licensed PFD as a Derivatives Issuer as per the Financial Markets Conduct Act 2013.

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Member, Financial Service Provider Register, FSP 28944
Member of the Financial Dispute Resolution (FDR scheme), New Zealand.

Financial Dispute Resolution


The Company is supervised by the Financial Markets Authority.

"FMA takes a risk-based approach to monitoring, meaning the extent of supervision varies depending upon their priorities and the nature of businesses. It can range from a full onsite inspection through to information requests and desk-based reviews. As a minimum, FMA will seek assurance that PFD is complying with the basics, ie:

  • PFD is meeting the minimum standards for licensing.
  • PFD is complying with the conditions attached to its licence.

FMA will also assess PFD's conduct generally as a licence holder and check PFD is complying with key legislation such as the Financial Advisers Act 2008, the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and the fair dealing provisions within the FMC Act".

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