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Found 1923 results. Displaying page 27 of 129

  1. 19 November 2020

    Rise in scams impersonating NZ businesses during COVID-19

    From 1 April to 5 November 2020, the FMA issued 61 warnings about investment scams, of which 21 (or 34%) were impostor scams, where the names and details of legitimate businesses are unlawfully used by scammers to trick investors, such as fake websites or social media accounts. By comparison, in the same timeframe during 2019, the FMA issued 40 warnings and only four (10%) were impostor scams. Read the media release.
    Tags
    COVID-19, FMA stories, Media release, Consumer, News & Insights, Scams
    Type
    Page

  2. 17 December 2020

    Three ways to invest with little money

    Three easy ways to invest even if you only have a small amount of money.
    Tags
    Shares, Ways to invest, Investing, Investment basics, Article, Consumer
    Type
    Page, Resource

  3. 20 October 2021

    FMA sets target dates for FAP full licence applications

    The FMA has set 30 September 2022 as the “target date” by when all transitional financial advice providers should apply for their Class 1 or Class 2 full licences. For Class 3 licence applicants, the target date is 30 June 2022.
    Tags
    Financial Advice Provider, Licensing & registration, Roles, Media release, Business, News & Insights
    Type
    Page

  4. 22 January 2024

    Financial Institution licensing

    Any registered bank, licensed insurer, or licensed non-bank deposit taker in the business of providing one or more relevant services needs to hold a financial institution licence to continue operating, if that service is received by a consumer in New Zealand. This page covers everything you need to know about Financial Insitution licencing.
    Tags
    Banking, Licensing & registration, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Managed Investment Schemes, Roles, Business, Managed investment schemes
    Type
    Page

  5. 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

  6. 25 October 2018

    FMA publishes annual report 2018

    FMA annual report for the financial year ending June 30 2018. The report highlights a number of key activities that took place in the year, including the launch of the joint FMA/RBNZ Culture and Conduct review of banks and life insurers.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  7. 11 December 2014

    FMA publishes its first medium-term strategic risk outlook

    FMA published its seven-point strategic risk outlook, identifying the areas where it will apply the majority of its regulatory effort in the medium-term. The priorities will direct the FMA’s work in licensing, supervision, compliance and enforcement.
    Tags
    Media release, FMA, News & Insights
    Type
    Page

  8. 11 April 2024

    Financial adviser

    To use the term Financial Adviser from the start of the new financial advice regime, you must be registered on the Financial Service Providers Register (FSPR) and engaged by a licensed financial advice provider (FAP) (or authorised body).　
    Find out more about licensing, your ongoing obligations and duties and complying with the new Code of Professional Conduct; liabilities and enforcement and frequently asked questions on this page.
    Tags
    New Financial Advice regime, Compliance, Financial Adviser, FSPR, Obligations, Licensing & registration, Roles, Business
    Type
    Page

  9. 31 March 2011

    D-day for Financial Advisers

    From 1 April, all financial advisers, or the companies they work for, have to be registered on the online Financial Service Providers Register, www.fspr.govt.nz. Advisers who should be on the register, but aren't risk hefty penalties.
    Tags
    Media release, News & Insights
    Type
    Page

  11. 1 December 2021

    Accredited Body Report - CPA Australia 2021

    Findings from the FMA’s review of the adequacy and
    effectiveness of CPA Australia’s audit regulatory systems for
    the period 1 July 2020 to 30 June 2021
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  12. 2 December 2022

    Accredited Body Report - CPA Australia 2022

    Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2021 to 30 June 2022
    Tags
    Roles, Accredited bodies, Business
    Type
    PDF, Report

  13. 2 December 2022

    Accredited Body Report - NZICA 2022

    Findings from the FMA’s review of the adequacy and effectiveness of NZICA’s audit regulatory systems for the period 1 July 2021 to 30 June 2022.
    Tags
    Roles, Accredited bodies, Business
    Type
    PDF, Report

  14. 8 December 2023

    Accredited body report - CPA Australia 2023

    Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2022 to 30 June 2023
    Tags
    Roles, Accredited bodies, Business
    Type
    PDF, Report

  15. 28 June 2022

    FMA publishes NZX obligations annual review 2022

    Key findings of the Financial Markets Authority’s (FMA) - Te Mana Tātai Hokohoko annual NZX Market Operator Obligations Review, which reports on how well NZX is meeting the requirements for its market operator licence. The most recent report covers the period 1 January to 31 December 2021.
    Tags
    Offer disclosure for equity and debt offers, Roles, Media release, Business, Market operator, News & Insights
    Type
    Page