Back

Document Library

A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1628 results. Displaying page 40 of 109

  2. 18 November 2020

    Consultation guidance on advertising offers

    This consultation is for those involved in advertising and promoting offers of financial products, investor groups and consumer advocates. We are seeking feedback about the scope and content of the proposed guidance.
    Tags
    Offer disclosure for equity and debt offers, Financial Advice Provider, Consultations, Roles, Business
    Type
    PDF

  5. 12 November 2020

    Audit Quality Director's Guide 2020

    The Audit Quality Directors Guide 2020 handbook is aimed at directors of FMCreporting entities. It sets out how you, as a director, can contribute to the quality of your audit, as well as what you can expect from the FMA and your auditor.
    Tags
    Directors, Roles, Auditors, Business
    Type
    PDF, Information Sheet

  6. 12 November 2020

    Cases Investigated - OIA request

    OIA response, dated 12 November 2020, questions asked around the policies, documents, communications and number of cases / prosecutions the FMA has assessed between 1 July 2017 - 12 November 2020
    Tags
    FMA
    Type
    PDF, OIA

  7. 5 November 2020

    FAP standard conditions full licence RIS

    This Regulatory Impact Statement (RIS) discusses standard conditions for financial advice provider (FAP) licences, to be
    imposed by the FMA.
    Tags
    RIS, Financial Advice Provider, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  10. 30 October 2020

    Consultation KiwiSaver Fees and Value for Money

    This consultation seeks input from KiwiSaver managers, KiwiSaver supervisors, other MIS managers, and other
    interested parties, on the regulatory approach to the statutory requirement that KiwiSaver fees must not be unreasonable and the related overarching statutory duties.
    Tags
    KiwiSaver providers, Consultations, Managed investment schemes, Roles, Business
    Type
    PDF

  13. 22 October 2020

    Consultation paper Recognition of Australian Adviser Qualifications

    Consultation: This guidance note is for any person who gives regulated financial advice, and their advisers and interested parties. It seeks feedback on proposed recognition of
    certain Australian adviser qualifications.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Consultations, Roles, Business
    Type
    PDF

  14. 22 October 2020

    16th Annual Financial Markets Law Conference

    Liam Mason, director of regulation for the Financial Markets Authority, gave an address to the 16th Annual Financial Markets Law Conference in October, 2020.
    Tags
    Speeches and presentations , News & Insights
    Type
    PPT

  15. 15 October 2020

    AML warnings - OIA request

    OIA response, dated 15 October 2020, looking at the total number of non-public formal warnings issued until June 2020 and he calendar or reporting years in which these were issued
    Tags
    FMA
    Type
    PDF, OIA