Document Library

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

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Found 1613 results. Displaying page 30 of 108

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.
24 August 2022

FMA Annual Corporate Plan 2022-2023

Our Annual Corporate Plan 2022-2023 provides details of the FMA’s priority outcomes and intended programme of work for the financial year.
20 August 2022

FMA organisation chart - OIA request

OIAP response dated 20 August 2021, FMA organisation charts - Request for the FMA’s current organisation chart
16 August 2022

Banks, building societies and credit unions Climate Reporting Entities Flow Chart

This flow chart, for Banks, building societies and credit unions, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.
16 August 2022

Licensed Insurer Climate Reporting Entities Flow Chart

This flow chart, for Licensed Insurers, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.
16 August 2022

Listed Issuer Climate Reporting Entities Flow Chart

This flow chart, for Listed Issuers, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.
16 August 2022

Managed Investment Scheme (MIS) Manager Climate Reporting Entities Flow Chart

This flow chart, for Managed Investment Scheme (MIS) Managers, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.
16 August 2022

Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo - Interim Stop order

The Financial Markets Authority (FMA) has made an interim stop order that applies to Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo.
12 August 2022

Consultation Proposed Standard conditions FAP full licensing

Consultation: Proposed standard conditions for financial advice provider full licences and classes of financial advice service.
12 August 2022

Standard Conditions - FAP licences

Standard Conditions for financial advice provider licences.