Document Library

Found 1629 results. Displaying page 26 of 109

1. 20 February 2023

   CoFI id guidance consultation paper

   This consultation paper seeks feedback on proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.

2. 20 February 2023

   Consultation CoFI id draft guidance

   This DRAFT guidance document relates to the consultation seeking feedback on proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.

3. 15 February 2023

   Regulatory Impact Statement FAP Regulatory Returns

   This document is for financial advice providers, financial advisers, and other interested parties. It discusses the regulatory reporting requirements as required by Standard Condition 3 for licensed financial advice providers.

4. 15 February 2023

   Validus - Interim Stop Order

   INTERIM STOP ORDER made by the Financial Markets Authority (FMA) pursuant to section 465 of the Financial Markets Conduct Act 2013 (Act), issued to Validus.

5. 14 February 2023

   Guidance and expectations for keeping proper accounting records

   Guidance and expectations to help FMC reporting entities to meet their statutory requirement to keep proper accounting records at all times.

6. 14 February 2023

   Submissions report Accounting records guidance

   Submissions report following the consultation for Accounting records guidance.

7. 3 February 2023

   Reasonable grounds for financial advice about financial products - submissions report

   Summary of feedback themes, along with our response and individual submissions, from our consultation on the draft guidance on reasonable grounds for financial advice about financial products

8. 2 February 2023

   Reasonable grounds for financial advice about financial products - guidance

   Guidance on the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about financial products purchased for investment purposes.

9. 31 January 2023

   Financial Markets Conduct - NZX Listing Rules Approval of Rule Change Notice 2023

   This notice is the Financial Markets Conduct (NZX Listing Rules) Approval of Rule Change Notice 1/2023. This notice comes into force on 31 January 2023. This notice approves amendments to the NZX Listing Rules. The amendments relate primarily to the NZX Corporate Governance Code (the Code), contained at Appendix 1 to the Listing Rules.

10. 30 January 2023

    Consultationpaper: Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements

    We are reviewing whether to renew for a further five years an existing class exemption notice that allows product disclosure statements to be provided in full in both te reo Māori and English (dual language PDSs).

11. 30 January 2023

    Feedback Form for Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements

    Feedback Form for Consultation paper Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements

12. 24 January 2023

    FMA Annual Report 2022

    This is the FMA 2021/2022 annual report. Our annual reports detail the results we have achieved against our stated intentions. Our annual reports are a great way to review our operational highlights for each financial year.

13. 24 January 2023

    Ease of Doing Business Survery 2022

    The FMA commissioned FiftyFive5 to conduct research among key stakeholders to understand the effectiveness of their interactions with the FMA and satisfaction with the services provided. This is the seventh year (2022) this stakeholder research has been conducted.

14. 20 January 2023

    MIS Sector Risk Assessment 2023

    Findings from the FMA’s assessment of the sector risks and the underlying key risk factors for Managed Investment Schemes (MIS), January 2023

15. 18 January 2023

    FAP Licensing Application Guide Class 3 questions

    FAP Licensing Application Guide Class 3 questions: This document contains the questions you will be asked when applying for a Class 3 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.