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  1. 29 June 2016

    Replacing life insurance — who benefits?

    The FMA has previously raised concerns about the extent of replacement business in the life insurance industry. In response to these concerns, we initiated a review to determine whether insurance churn exists in the New Zealand market and, if it does, whether it harms consumers. Download the full report on this page.
    Tags
    Reports and Papers, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Roles, Insurance Providers, Financial Institutions, Business, News & Insights
    Type
    Page

  2. 2 July 2021

    Filing of financial statements: review findings and guidance

    This report provides a summary of the key findings and insights from the FMA’s monitoring review of financial reporting filing obligations. Also provides guidance and sets expectations for future reporting periods.
    Tags
    Directors, Reports and Papers, Roles, Auditors, Business, News & Insights
    Type
    Page, Financial reporting

  3. 26 June 2023

    CoFI intermediated distribution submissions report

    Submissions report: Proposed guidance on CoFI intermediated distribution. Collation of written feedback received as part of the FMA’s public consultation on the proposed CoFI (Conduct of
    Financial Institutions) guidance note on intermediated distribution.
    Tags
    Banking, Conduct, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Business, News & Insights
    Type
    PDF, Guidance

  4. 26 June 2023

    CoFI intermediated distribution consultation themes

    Summary of key themes. An overview of feedback received as part of consultation on the proposed CoFI guidance note on intermediated distribution.
    Tags
    Banking, Conduct, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Business, News & Insights
    Type
    PDF

  5. 26 June 2023

    FMA publishes final guidance for the intermediated distribution of financial products

    The FMA today published its final guidance for financial institutions that distribute products and services through intermediaries as part of the Conduct of Financial Institutions (CoFI) regime.
    Tags
    Media release, Banking, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Roles, Business, News & Insights, Supervisor
    Type
    Page, Guidance

  6. 26 June 2023

    Consultation: Proposed CoFI guidance note on intermediated distribution

    Following consultation published CoFI guidance note intermediated distribution, the summary of key themes, and the submissions report.
    Tags
    Banking, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Roles, Consultations, Financial Institutions, Business
    Type
    Page

  9. 30 November 2014

    Financial regulation and registration requirements for marinas information sheet

    The Financial Markets Conduct Act 2013 (FMC Act) changes the way interests in marinas are regulated. Marinas will generally not be regulated under the FMC Act and will no longer need to register on the Financial Service Providers Register. Published November 2014.
    Tags
    Roles, Offer information, Business, Supervisor
    Type
    PDF, Information Sheet, Guidance

  10. 1 November 2014

    FMA consent to governing document amendments under FMC Act Information sheet

    This information sheet enables debt issuers and MIS managers to amend a governing document with FMA consent where those changes are necessary or desirable for ensuring compliance with the FMC Act. It is an alternative way for the issuer/manager to amend governing documents rather than making amendments under the governing document’s own amendment provisions (which may otherwise require investor consent).
    Tags
    Offer disclosure for equity and debt offers, Roles, Business, Managed investment schemes
    Type
    PDF, Information Sheet

  13. 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.
    Tags
    Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF, Information Sheet

  15. 1 November 2021

    Self assessment tool key outsourcing arrangements

    As a small business, we expect you’ll need to outsource some functions to third parties. It’s important that you protect your reputation and your clients by conducting robust background checks, putting contractual agreements in place, and performing regular reviews to ensure suppliers of key functions are up to the task and can meet your expectations and Financial Advice Provider (FAP) obligations. As a FAP, you remain responsible for any functions that you outsource.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Roles, Business
    Type
    PDF, Information Sheet