News and resources
FMA Update
FMA Updates
FMA Update - 15 February 2018
Careers
Subscribe to our updates
Twitter
Facebook
LinkedIn
Search
About us
Compliance
Investors
News and resources
Contact us
About us
What we do
Our people
Our values
Governance
Risk management
Corporate publications
Work for us
Financial Markets Conduct Act
Compliance
AML/CFT
Consultation
Cryptocurrencies
Designations
DIMS
Exemptions
Fees, levies and waivers
Financial advice
Financial reporting
Governance
Guidance library
KiwiSaver
Licensed providers
Licensing and registration
Offer information
Regulatory reporting
Your role
Auditors - our role
Authorised financial advisers
Brokers & custodians
Crowdfunding platforms
Directors & officers
Derivatives issuers
Equity or debt issuers
Financial market infrastructures
Fund managers
Independent trustees
Market operators
Peer-to-peer lending providers
QFEs & QFE advisers
Registered financial advisers
Supervisors
Investors
Investment - Understanding the basics
Ways to invest
Deciding how to invest
Manage your investments
Getting financial advice
Life insurance
KiwiSaver and superannuation
Scams
Free resources
News and resources
Media releases
Releases from the Minister
Warnings and alerts
Reports and papers
Speeches and presentations
New financial advice regime
IMF 2016 review of NZ
FMA Update
Regulation updates
Cases before the courts
Investigations
Enforcement actions
Court decisions
Contact us
Ask a question online
Helplines and offices
Frequently asked questions
Forms and notifications
Make a complaint
Media enquiries
Official Information Act requests
Close
About us
What we do
Our role
Who we regulate
How we regulate
Regulatory co-operation
MOUs with other financial regulators and agencies
Compliance
Enforcement
Making compliance easier
Building investor capability
Strategic priorities
Support market innovation
Our people
Executive team
Our Board
Our values
Governance
Minister
Our Board
Legislation
Chief executive expense disclosure
Risk management
Corporate publications
Annual corporate plan
Annual reports
Statement of Intent
Statement of Performance Expectations
Strategic Risk Outlook
Work for us
What we offer
Our people
Financial Markets Conduct Act
Compliance
Your role
Auditors - our role
2016 IFIAR survey results
Authorised financial advisers
Financial Advisers Disciplinary Committee
FAA Review – February forums
Brokers & custodians
Who is responsible for broker and custodian obligations
Crowdfunding platforms
Directors & officers
Corporate Governance
Derivatives issuers
Equity or debt issuers
Financial market infrastructures
Fund managers
Independent trustees
Market operators
Peer-to-peer lending providers
QFEs & QFE advisers
Registered financial advisers
Supervisors
AML/CFT
About AML/CFT
Who needs to comply
Reporting Entities
Designated Business Groups
Your obligations
Annual AML/CFT reports
Independent audit
Prescribed transactions reporting (PTR)
Guidance and resources
FAQs
Consultation
Cryptocurrencies
Initial coin offers
Cryptocurrency services
Fair dealing and initial coin offers
Designations
About designations
How to apply
Current designation notices
Financial Markets Conduct Act designations
DIMS
FMC Act DIMS
FA Act DIMS
FAQs
Exemptions
How to apply
Apply for a digital advice exemption
Exemption categories
Current exemption notices
Financial Advisers Act exemptions
Financial Markets Conduct Act exemptions
Trustee and Nominee exemptions
Expired exemptions
Fees, levies and waivers
Levies and waivers
Financial advice
Types of financial advisers
Who is not covered by the FA Act
Types of financial adviser services
Eligible persons & eligible investors
Disclosure obligations
Care, diligence and skill
Advertising
How we monitor financial advice
Financial reporting
Who needs to comply
Your obligations
FAQs
Governance
Guidance
Guidance library
KiwiSaver
KiwiSaver exempt employers
Licensed providers
Licensing and registration
Applying for a financial service provider licence
Auditors
How to apply for a licence – overseas auditors
How to apply for registration – overseas audit firms
Authorised Financial Advisers
Overseas advisers & overseas clients
AFA testimonial templates and guidelines
AFA competence and assessment
Crowdfunding
Derivatives Issuers
Discretionary Investment Management Services (DIMS)
Independent Trustees
Managed investment scheme (MIS) manager
Peer-to-peer lending
QFEs
Supervisors
Varying an existing licence
Market operators
Checklist
Registration
How to register
Your on-going obligations
Offer information
Offers under the FMC Act
Who needs to comply
Disclosure requirements
Schedule 1 offers
Pre-registration reviews
Your obligations
Waivers
Crowdfunding issuers
Peer-to-peer lending borrowers
FAQs
Asia Region Funds Passport
Regulatory reporting
Annual AFA information return
FAQs
Annual return for crowdfunding and peer-to-peer lending service providers
Investors
What's new
It’s now much easier to see what your KiwiSaver costs
Investment scams - are you a target?
It’s okay to hang up
Investment home truths
Investment - Understanding the basics
Your investment goals
Before you invest
Ways to invest
Bonds
Different types of bonds
Binary options
Capital notes
Cash investments
Crowdfunding
Cryptocurrencies
Exchange Traded Funds
Foreign exchange trading
Gold and other commodities
Managed funds
Peer-to-peer lending
Property investment
Property syndicates
Shares
Software packages and seminars
Deciding how to invest
Understanding risk
Understanding return
Costs involved in investing
3 ways to invest with very little money
Credit ratings
Product disclosure statements
The Disclose Register
Manage your investments
KiwiSaver and managed fund reports
How to read a company annual report
What good performance looks like
How to look for warning signs
How to deal with problems
Getting financial advice
When to speak to an adviser
Types of advice
Finding an adviser
Paying for advice
Choosing an adviser
What good advice looks like
Working with an investment adviser
Problems with your adviser
Life insurance
KiwiSaver and superannuation
About KiwiSaver
KiwiSaver Risk Quiz
KiwiSaver Health Checker
Your retirement goals
Superannuation schemes
Switching your KiwiSaver provider
Transferring overseas superannuation
Scams
Have you been scammed?
Protect yourself
Types of scams
Real life scam stories
Bob’s story highlights the tactics scammers use
Diana lost thousands investing in binary options
John’s story shows how scammers target investors
Read how Simon helped his father-in-law spot a scam
Free resources
News and resources
Media releases
Releases from the Minister
How to request that a warning be removed
Warnings and alerts
Reports and papers
Speeches and presentations
New financial advice regime
Latest news
Frequently asked questions
Understanding the jargon
End of year update
IMF 2016 review of NZ
Background
What is a Financial Sector Assessment Program (FSAP)?
What did the 2016 New Zealand FSAP cover?
IMF feedback
Why do an FSAP?
The FMA’s role in the 2016 New Zealand FSAP
What does an FSAP involve?
About the 2004 New Zealand FSAP
Changes to New Zealand’s regulatory environment since 2004
IMF documents
FMA Update
FMA Updates
AFA Update archive
Regulation updates
Cases before the courts
Closed cases
Finance company cases
Investigations
Financial investigations status
Enforcement actions
Orders
Settlement agreements
Undertakings
Management bans and undertakings of non-participation
AFA cancellations, terminations and suspensions
Court decisions
Speech request form
Contact us
Ask a question online
Helplines and offices
Frequently asked questions
Forms and notifications
Make a complaint
What you can complain to us about
Make a complaint online
Whistleblowing and informants
Media enquiries
Official Information Act requests
Careers
Twitter
Facebook
LinkedIn
FMA Update - 15 February 2018
News and resources
Media releases
Releases from the Minister
Warnings and alerts
Reports and papers
Speeches and presentations
New financial advice regime
IMF 2016 review of NZ
FMA Update
FMA Updates
AFA Update archive
Regulation updates
Cases before the courts
Investigations
Enforcement actions
Court decisions
Read our
February FMA Update
Share this
Share on Facebook
Tweet this
Email this
Back to top
Back to FMA Updates
Let us know what you think
Did you find this page useful?
Yes
No
Message