Financial Adviser Complaint Form – FMA New Zealand

Financial Adviser Complaint Form for New Zealand's FMA

When a financial adviser fails to meet their professional obligations or regulatory standards in New Zealand, clients have the right to lodge a formal complaint with the Financial Markets Authority (FMA). This Financial Adviser Complaint Form streamlines the process of reporting conduct breaches, detailing financial losses, and documenting regulatory violations.

Why use Paperform for FMA complaints?

Paperform makes it simple to create professional, compliant complaint forms that capture all the essential information the FMA needs to investigate adviser misconduct. The doc-style editor lets you structure complex regulatory forms with clear sections for complainant details, adviser information, breach descriptions, and financial impact statements—all without coding.

Key features for regulatory complaints:

• Conditional logic to show relevant questions based on complaint type (conduct breach, disclosure failure, conflict of interest, unsuitable advice)
• File uploads for supporting documentation like statements, correspondence, and contracts
• Calculation fields to document financial losses and timeline details
• Custom success pages to confirm receipt and outline next steps in the complaints process

Perfect for legal, compliance and financial services

This template is ideal for legal practices, consumer advocacy organisations, financial dispute resolution services, and regulatory bodies across New Zealand who need to gather comprehensive complaint information in a structured, professional format. Whether you're a law firm assisting clients with FMA complaints or a compliance team managing internal escalations, this form ensures nothing gets missed.

With Papersign (papersign.com), you can follow up complaint submissions with statutory declarations or consent forms for further investigation, keeping the entire complaints process connected and audit-ready.

For firms handling multiple complaints or client matters, Stepper (stepper.io) can automate your post-submission workflow—routing complaints to the right team members, updating case management systems, sending acknowledgment emails, and triggering follow-up tasks based on breach severity.

Paperform is trusted by legal and financial services professionals worldwide, with SOC 2 Type II compliance, data residency controls, and robust security features that meet the standards expected by New Zealand's regulatory environment.