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29 September 2022

Catalist market operator obligations review 2022

This report covers the first market obligations review for Catalist, and covers the period from 21 June 2021, the licence commencement date, to 31 March 2022, the end of Catalist’s first reporting period.
29 September 2022

FMA Investor checklist

World Investor Week investing plan checklist.
27 September 2022

Securities Industry Association submission

Consultation submission from Securities Industry Association, 1 Aug 2013: Practical implications of factsheet on Managing Intermediaries feedback
27 September 2022

Consultation paper Client money or property service provider guidance

Consultation on proposed guidance on the obligations for client money or property service providers.
27 September 2022

Feedback form Client money and property service guidance

Feedback form for consultation client money and property services guidance.
21 September 2022

WIW 2022 Social tiles

World Investor Week 2022 social tiles for sharing purposes.
21 September 2022

WIW2022 Website banners

World Investor Week 2022 promotion materials. This zip file includes website banners
15 September 2022

WIW2022 Logos

World Investor Week 2022 promotion materials. This zip file includes logos
11 September 2022

KiwiSaver Statements Report 0722

The KiwiSaver Statements research report commissioned by the FMA July 2022
9 September 2022

Consultation paper on proposed Regulatory returns for licensed Class 3 financial advice providers

Public consultation on the proposed regulatory returns that licensed Class 3 financial advice providers will be required to provide to the FMA
9 September 2022

Feedback form regulatory returns for licensed Class 3 financial advice providers

Feedback form for public consultation on the proposed regulatory returns that licensed Class 3 financial advice providers will be required to provide to the FMA
9 September 2022

Financial Markets Conduct NZX NZ Markets Disciplinary Rules Approval of Rule Change Notice 2022

This notice is the Financial Markets Conduct (NZX NZ Markets Disciplinary Tribunal Rules) Approval of Rule Change Notice 2022.
9 September 2022

Proposed annual regulatory return information to be provided by licensed CLASS 3 FAPs to the FMA (questions)

Proposed annual regulatory return information to be provided by licensed CLASS 3 Financial advice providers (FAPs) to the FMA
31 August 2022

Wisdom House and Yuen Pok (Paul) Loo - Stop Order

The permanent stop order that applies to Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo, after they engaged in misleading and dishonest conduct, that the FMA ordered on 31 August 2022.
29 August 2022

Kalkine New Zealand Limited - Direction Order

FMA directs Kalkine New Zealand Limited to stop making outgoing sales calls to people in New Zealand following concerns about the entity’s misleading marketing conduct. 10 August 2022.