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29 August 2023

FAQs

This page frequently asked questions about Offers of financial products including: due diligence; kinds of financial offers; Product Disclosure statements (PDS); dual language PDS exemptions; equity offer financial information; debt offers financial information; schedule 1 offers; offers under employee share purchase schemes; small offers and offers of financial products of same class as quoted financial products.

Tags

Offer information, Business

Type

Page
17 November 2022

Supervisor licence Anchorage Trustee Services Limited

This is to certify that Anchorage Trustee Services Limited FSP 146324 is licensed under section 16(1) of the Financial markets Supervisors Act 2011 to act as a statutory supervisor in respect of any retirement village. Licence effective from 17 November 2022 and expires on 16 November 2027

Tags

Licence, Roles, Licensing & registration, Business, Supervisor

Type

PDF
16 November 2022

Audit Quality Monitoring Report 2022

The Audit Quality Monitoring Report for 1 July 2021 – 30 June 2022. This this year’s report emphasises that high-quality audits are vital to ensuring investors can make active choices based on clear, concise, and effective information.

Tags

Auditors, Reports and Papers, Roles, Business, News & Insights

Type

PDF, Report
7 March 2023

FAP regulatory returns questions Class 2

This document provides an overview of the questions you'll be asked for when you submit your Class 2 FAP Regulatory Return. The regulatory returns are due by 30 September for the 12-month period from 1 July to 30 June (period of return).

Tags

Financial Advice Provider, Regulatory returns, Roles, Authorised body under a FAP, Business

Type

PDF
23 February 2023

Notice of approved auditing courses

Section 3(1)(e) of the prescribed minimum standards requires an individual who applies for a licence (under section 11 of the Act) after 30 June 2014 to have successfully completed a professional course in auditing approved by FMA. For the purposes of this section, FMA has approved the professional courses in auditing as documented in this PDF.

Tags

Auditors, Roles, Licensing & registration, Business

Type

PDF
5 July 2019

Statement on the Kiwi Access Card

Part 1, Section 2 of the amended Identity Verification Code of Practice 2013 (IVCOP) currently refers to the older 18+ card as an example of secondary or supporting form of photographic identification, which is to be used in conjunction with a form of primary nonphotographic identification such as a birth certificate in order to meet the standard set by the IVCOP.

Tags

AML/CFT, Regulation updates, Roles, Business

Type

PDF
5 July 2022

Exemption Notice - Financial Markets Conduct Futurity Investment Group Limited

The Financial Markets Conduct (Futurity Investment Group Limited) Exemption Notice 2022 exempts Futurity Investment Group Limited (the manager), as manager of Futurity managed investment schemes in New Zealand, principally from section 156(1) of the Financial Markets Conduct Act 2013 (the Act) subject to certain conditions.

Tags

Exemptions, Business

Type

PDF, Financial Markets Conduct Act exemptions, Current, Exemption notice
27 June 2023

Statement of Performance Expectations 2023 to 2024

This SPE sets out our financial forecast for the financial year 1 July 2023 to 30 June 2024. It is prepared in line with the
Crown Entities Act 2004 and should be read together with the FMA’s Statement of Intent 2021-2024.

Tags

Type

PDF, Corporate publications, Statement of Performance Expectations
1 July 2016

Staff and board members gifts and hospitality - OIA response

OIA response, dated 6 July 2018, to a request regarding FMA’s policy surrounding staff and board members accepting gifts and/or hospitality and, a list of any gifts and/or hospitality accepted staff and board members since 1 July 2016.

Tags

FMA

Type

PDF, OIA
1 August 2019

Interest rate swap investigation - OIA request

OIA response, dated 1 August 2019, which looked at the investigation by the FMA in 2012-2013 into banks marketing, promoting and selling interest rate swaps between 2005 and 2009. As well as complaints surrounding interest rate swap and the final settlement number with the banks.

Tags

FMA

Type

PDF, OIA
13 December 2023

SGX DT Obligations Review 2023

Market operator obligations review SGX-DT. Findings from the FMA’s review of how well SGX-DT is meeting its licensed market operator obligations, for the period 1 July 2022 to 30 June 2023.

Tags

Reports and Papers, Roles, Business, Market operator, News & Insights

Type

PDF
7 March 2023

FAP regulatory returns questions Class 3

This document provides an overview of the questions you'll be asked for when you submit your Class 3 FAP Regulatory Return. The regulatory returns are due by 30 September for the 12-month period from 1 July to 30 June (period of return).

Tags

Financial Advice Provider, Regulatory returns, Roles, Authorised body under a FAP, Business

Type

PDF
10 May 2024

AML/CFT Customer Due Diligence – Trusts

This guideline is intended to support reporting entities1
to conduct customer due diligence (CDD) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act) on their customers who are trusts.

Tags

AML/CFT, Compliance, Obligations, Roles, Business

Type

PDF, Information Sheet
26 June 2024

Statement of Performance Expectations 2024 to 2025

This SPE sets out our financial forecast for the financial year 1 July 2024 to 30 June 2025. It is prepared in line with the Crown Entities Act 2004 and should be read together with the FMA’s Statement of Intent 2024-2028

Tags

Type

PDF, Corporate publications, Statement of Performance Expectations
7 June 2023

Financial Markets Conduct (Christchurch City Holdings Limited Subsidiary Balance Date Alignment) Exemption Notice 2023

The Financial Markets Conduct (Christchurch City Holdings Limited Subsidiary Balance date Alignment) Exemption Notice 2023 exempts Christchurch City Holdings Limited (CCHL), subject to conditions, from section 461(3) of the Financial Markets Conduct Act 2013 (Act). Section 463(1) requires the board of an FMC reporting entity to ensure that the balance date of the FMC reporting entity is the same as the balance date of its subsidiaries. The effect of the exemption is that it exempts the board of CCHL from requiring that its subsidiary Orion New Zealand Limited (Orion) has the same balance date..

Tags

Exemptions, FMC Act, Legislation, Business

Type

Page