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Document Library

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

Found 1608 results. Displaying page 38 of 108

  1. 9 December 2020

    Consultation Standard conditions FAP submissions combined part one

    Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.
    Tags
    Financial Advice Provider, Consultations, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  2. 9 December 2020

    Consultation Standard conditions FAP submissions combined part two

    Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.
    Tags
    Financial Advice Provider, Consultations, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  4. 4 December 2020

    Auditor Regulation Act Notice 2020

    This notice is the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.
    Tags
    Auditors, Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF, Notice

  5. 1 December 2020

    Who will need a licence to provide financial advice

    The changes to how we regulate financial advice in New Zealand mean only those operating under licensed financial advice providers can give advice to retail clients. This fact sheet was drafted by the FMA ahead of the new financial advice regime to assist in helping navigate the new regime as a potential licence holder.
    Tags
    Financial Adviser, Roles, Financial Advice Provider, Licensing & registration, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    PDF, Information Sheet

  6. 1 December 2020

    Exemption Notice - ICAP Brokers

    Financial Markets Conduct Exemption Notice 2020 - ICAP Brokers Pty Limited and ICAP New Zealand Limited.
    Tags
    Exemptions, Business
    Type
    PDF

  7. 30 November 2020

    Audit Quality Monitoring Report 2020

    Under the Auditor Regulation Act 2011 (AR Act),
    we must carry out a quality review of the systems,
    policies and procedures of registered audit firms
    and licensed auditors at least once every four
    years. Our reviews help improve audit quality and ensure
    audit opinions are reliable. This is our 2020 report.
    Tags
    Monitoring, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  8. 25 November 2020

    ANZ - Settlement Agreement

    Settlement Agreement with ANZ Bank New Zealand Limited, 25 November 2020.
    Tags
    Settlement, Enforcement
    Type
    PDF

  9. 18 November 2020

    Consumer Insights on Scams and Fraud research report 2020

    The main objectives of the research report commissioned by the FMA were to Measure the level of confidence the New Zealand public have in the New Zealand financial markets; Measure perceptions and awareness of the FMA; Explore how investors and have responded to market volatility following the COVID-19 pandemic; Capture New Zealanders’
    experience of investment scams.
    Tags
    Reports and Papers, Monitoring, Business, FMA, News & Insights, Scams
    Type
    PDF, Research

  11. 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

  14. 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

  15. 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