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  1. 13 October 2021

    FMA issues guidance on advertising of financial products

    The Financial Markets Authority (FMA) issues guidance on how firms should be advertising financial products. Read the media release.
    Tags
    Directors, Roles, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Media release, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Nominated representatives
    Type
    Page, Guidance

  3. 30 August 2018

    Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice 2018

    The principal notice permits entities listed in Schedule 1 of the notice to provide personalised services to retail clients where those services are provided through a digital advice facility. This notice amends the principal notice to add Nikko Asset Management New Zealand Limited (Nikko Asset Management) to that list of entities.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  4. 5 October 2023

    Barry Kloogh (Financial Planning Limited and Impact Enterprises Limited)

    Mr Kloogh was offering brokering services to clients through the first defendant, Financial Planning Ltd, and the second defendant, Impact Enterprises Ltd, although neither they nor he was registered to offer broking services. The FMA referred the matter to the Serious Fraud Office.
    Tags
    Court – criminal, Licence cancellation, Powers, Enforcement
    Type
    Page

  7. 28 February 2023

    Deciding how to invest

    Deciding how you wish to invest? Read about the three most important things to consider before you invest: risk, return and cost.
    Tags
    Investing, Consumer
    Type
    Page

  8. 11 June 2018

    Publishing default information for peer to peer lending services 2018

    This guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information. It sets out what ‘default’ means, when licensees must comply with the standard and guidelines on how to publish fair, clear and transparent information.
    Tags
    Compliance, Roles, Business, Peer-to-peer lending service providers
    Type
    PDF

  9. 11 June 2018

    Publishing default information for peer to peer lending services 2018

    This guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information. It sets out what ‘default’ means, when licensees must comply with the standard and guidelines on how to publish fair, clear and transparent information.
    Tags
    Compliance, Roles, Business, Peer-to-peer lending service providers
    Type
    PDF

  10. 17 November 2015

    Consultation proposed variations to standard conditions of market services licences

    It aims to seek feedback from FMC Act market service
    licensees on a proposal requiring the licensees’ governing
    bodies to declare, annually, they have complied with
    conditions for their licence. It explains: proposed changes to standard conditions for FMC Act licences.
    Tags
    Consultations, Standard conditions, Licensing & registration, Business
    Type
    PDF

  13. 23 June 2022

    Cyber security must be a priority for financial sector, FMA says

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has published an information sheet to help financial services firms enhance the resilience of their technology and operational systems, and meet any relevant licence obligations.
    Tags
    Crowdfunding providers, Directors, Discretionary investment management scheme (DIMS), Financial Advice Provider, Financial Adviser, Roles, Offer disclosure for equity and debt offers, Media release, Business, Managed investment schemes, Market operator, News & Insights, Peer-to-peer lending service providers, Supervisor
    Type
    Page

  14. 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

  15. 15 March 2021

    Getting advice

    If you want to invest, get a mortgage or insurance, or plan for your long-term future, you may benefit from getting financial advice. This section of the FMA website talks about when to get financial advice and how financial advice is regulated in New Zealand, the role of financial advice providers. You can also find useful tips of working with a financial adviser and what to do if you face problems with your financial adviser.
    Tags
    Financial advice, Get advice, Investing, Consumer
    Type
    Page