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  1. 2 May 2016

    Craigs - Settlement Agreement

    Craigs and FMA Settlement agreement,following an investigation into potential breaches of Anti-Money Laundering and Countering Financing of Terrorism Act 2009 in relation to Craigs. 2 May 2016.

  2. 9 May 2017

    IMF financial system stability assessment 2017

    This report is based on the work of the Financial Sector Assessment Program (FSAP) missions that visited New Zealand in August 16–September 7, 2016 and November 2–17, 2016.

  3. 3 July 2018

    Class legislative notice summary 2018

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 2 July 2018. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.

  4. 10 July 2023

    Consultation paper Climate related disclosures timing mismatch

    The FMA is consulting on a proposed exemption to exempt certain climate reporting entities from the requirement to include a link to their climate statements in their annual report for a 2-year period. Submissions close 7 August 2023.

  6. 15 March 2023

    FAP licences Classes of financial advice service

    The FMA specifies three licence classes for financial advice providers (FAP): Class 1, Class 2 and Class 3. See section 395(2) of the Financial Markets Conduct Act 2013 as amended by the Financial Services legislation Amendment Act 2019 (FMC Act). Licence classes apply to the manner in which regulated financial advice may be provided but do not limit the types of financial advice that may be provided under the licence, as the latter is addressed by the competency requirements in the Code of Professional Conduct for Financial Advice Services.

  7. 16 March 2023

    How the FAP licence classes compare

    Before you apply for a Financial Advice Provider (FAP) licence, you’ll need to decide whether you want to be considered for a Class 1, Class 2, or Class 3 licence. Use this table as a general guide to help you determine the class of FAP licence that is best suited to you and your plans for your business.

  8. 12 July 2022

    Self assessment tool complaints handling

    Use this self-assessment tool to see if you’re ready to complete the complaints handling section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.

  9. 12 October 2021

    Advertising offers of financial products under the FMC Act guidance

    This guidance focuses on the application of the fair dealing provisions in Part 2 of the FMC Act to communications made for the purposes of advertising or promoting offers of financial products (advertising). This guidance also covers the application of the specific advertising provisions in Part 3 of the FMC Act for regulated offers of financial products.

  10. 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.

  11. 4 November 2021

    Record keeping self assessment tool

    Keeping accurate records of the financial advice you provide helps maintain a relationship of transparency and trust with your clients. It also ensures you can provide evidence of how you have complied with your licensee obligations as and when required. Use this self-assessment tool to see if you’re ready to complete the record keeping section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.

  12. 4 October 2021

    Self assessment tool cyber security and BCP

    Planning for all types of risk is an essential part of any business. As a financial advice provider, clients rely on you to ensure their information is secure, confidential, and available at all times. By taking the time to prepare for the unexpected, you’ll be able to get back on your feet quickly, protecting both your clients and your business. Use this self-assessment tool to see if you’re ready to complete the cyber security and business continuity planning section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply. *