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.
13 December 2016
Media releaseMR No.2016 – 3813 December 2016 Earlier this year the FMA consulted on a guide on good conduct, signalling to New Zealand financial services providers what to expect from interaction and engagement with the conduct regulator. With a broad range of industry submitting, the process has given the FMA valuable insight into how New Zealand financial services providers view the topic of conduct regulation in general; and the intent and content o...
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.
16 January 2017
First published 16 January 2017 Final date for submissions 5pm Friday 17 March 2017 Consultation document Requirement for managers of multiple participant schemes to register participation agreements Submission form Feedback form E-mail for submission email@example.com (please use the title of the consultation paper for the subject line) We are seeking views on a proposal for a possible class exemption from the Fin...