Information about brokers under the Financial Advisers Act 2008 and custodians under the Financial Advisers (Custodians of FMCA Financial Products) Regulations 2014.
Find out who is a broker under the FA Act and who is a custodian under the custodian regulations.
Find out what your obligations are under the FA Act and custodian regulations. Also read how we will monitor compliance.
Find out who must comply with broker obligations under the FA Act and custodian obligations under the custodian regulations.
Breaches of broker or custodian obligations may lead to claims for compensation, action by the FMA or prosecution.
You may be able to obtain an exemption from compliance with broker and/or custodian obligations under the FA Act 2008.
Read how the FMC Act provides for fair dealing about financial products and services and sets out minimum compliance standards of behaviour for people operating in the financial markets.
20 September 2016
The inaugural New Zealand International Fraud Film Festival (Fraud Film Festival) is coming to Auckland’s Q Theatre in November. The festival is timed to coincide with November’s Fraud Awareness Week and will open on Friday, 18 November.
28 July 2016
FMA has released a guide to how it will examine whether financial services providers are demonstrating good conduct under the Financial Markets Conduct Act (FMC Act).
8 November 2016
We are seeking feedback on our KiwiSaver advice guidance note.
This guidance note is for providers advising on KiwiSaver products and will replace our 2012 Guidance Note: Sale and Distribution of KiwiSaver. We are replacing this guidance to recognise feedback that our 2012 approach resulted in some people not getting the help they needed, as firms saw it as risky to provide advice. This revised guidance is intended to change that situation, by encouraging advisers and financial firms to help people make good decisions about KiwiSaver.