Back

Search results

Found 3349 results. Displaying page 47 of 224

  1. 1 October 2020

    Liam Mason speaking at the Financial Markets Law Conference

    Liam Mason, FMA's Director of regulation speaks at the Financial Markets Law Conference 2020.
    Tags
    COVID-19, Financial Adviser, New Financial Advice regime, Roles, Speeches and presentations , Business, News & Insights
    Type
    Page

  2. 15 April 2021

    FMA welcomes NZ strategy for financial capability

    The Financial Markets Authority (FMA) has welcomed the release of The National Strategy for Financial Capability, presented in Parliament today by the Minister for Commerce and Consumer Affairs, Dr David Clark.
    Tags
    Media release, Investor capability, FMA, News & Insights
    Type
    Page

  4. 17 December 2013

    FMA guidance helps consumers access financial advice

    The Financial Markets Authority has released guidance documents to help financial advisers give high-quality personalised advice.
    Tags
    Media release, Consumer, News & Insights
    Type
    Page, Guidance

  5. 3 July 2014

    Review of non-filing of financial statements

    The non-filing of financial statements by some financial markets participants is a persistent problem and has prompted FMA to undertake a review of issuers’ compliance with their financial reporting obligations.
    Tags
    Directors, Roles, Reports and Papers, Business
    Type
    Page, Financial reporting, Report

  6. 1 November 2013

    Future of financial markets - FMA market update

    Future of financial markets - FMA market update. This document explains how the Financial Markets Authority (FMA) has worked on rebuilding market and investor confidence over the two year period following the global financial crisis, and the failure of finance companies.
    Tags
    Regulation updates, Business, FMA
    Type
    Page, Guidance

  7. 1 May 2020

    FMA’s reviews of financial reporting

    FMA’s reviews of financial reporting is a statement outlining our approach to financial reporting reviews, highlighting selected areas of interest for our 2019/20 reviews. It will be useful for anyone involved in preparing or approving financial reporting for FMC reporting entities. Read more.
    Tags
    Governance, Directors, Roles, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Business, FMA, Managed investment schemes, Peer-to-peer lending service providers, Nominated representatives
    Type
    Page, Financial reporting, Guidance

  8. 1 November 2013

    Financial Markets Conduct Act reforms guide

    Financial Markets Conduct Act reforms guide explains the purposes of the Financial Markets Conduct (FMC) Act 2013 and how it fits in with other financial markets reforms. There is also a big picture view of the main reforms included in the FMC Act.
    Tags
    Directors, Roles, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Business, Interposed persons under new financial advice regime, Nominated representatives
    Type
    Page, Guidance

  9. 15 March 2021

    Start to new licensing regime for financial advice

    The Financial markets Authority (FMA) welcomes the start of the new financial advice regime from 15 March 2021. Under the new regime, anyone who gives regulated financial advice to retail clients must either hold, or operate under, a Financial Advice Provider licence. All providers of financial advice are now subject to the same obligation to place the interests of their clients first and must adhere to a new Code of Conduct.
    Tags
    Licensing & registration, Financial Services Legislation Amendment Act (FSLAA), Media release, Business
    Type
    Page

  10. 1 December 2020

    Who will need a licence to provide financial advice

    The changes to how we regulate financial advice in New Zealand mean only those operating under licensed financial advice providers can give advice to retail clients. This fact sheet was drafted by the FMA ahead of the new financial advice regime to assist in helping navigate the new regime as a potential licence holder.
    Tags
    Financial Adviser, Roles, Financial Advice Provider, Licensing & registration, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    PDF, Information Sheet

  11. 1 December 2020

    Who will need a licence to provide financial advice?

    Only those operating under licensed financial advice providers can give advice to retail clients. This advice can be provided in various ways, including directly through online facilities such as digital advice, or through financial advisers or nominated representatives.
    Tags
    Financial Advice Provider, Licensing & registration, Roles, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    Page, Guidance

  12. 9 March 2023

    Explore your Financial Advice Provider (FAP) options

    The explore your options tool was created to help financial advice providers navigate the licensing options under the new financial advice regime. It covers some of the more straightforward ways you can operate.
    Tags
    Financial Advice Provider, Financial Adviser, New Financial Advice regime, Licensing & registration, Roles, Authorised body under a FAP, Financial Services Legislation Amendment Act (FSLAA), Business, Interposed persons under new financial advice regime, Nominated representatives
    Type
    Page

  13. 13 March 2015

    Financial Markets Conduct Act exemptions consultation paper

    The offer and management of most financial products will fall under the standard ‘regulated offer’ regime or within the Schedule 1 statutory exclusions. However, there are a few areas where the FMA may need to use class exemptions, frameworks, or methodologies and designations (the FMA’s
    legislative tools).
    We want preliminary comments on matters we believe should be considered for support by the
    FMA’s legislative tools, but for which we have not yet developed policy proposals. Your feedback will
    be considered in the development of our proposals
    Tags
    Consultations, FMC Act, Legislation, Business
    Type
    PDF

  14. 6 March 2017

    Consultation paper Disclosing non GAAP financial information

    This guidance note is primarily for FMC reporting entities and their directors. It aims to outline the FMA's expectations on the use of non-GAAP financial information.
    Tags
    Directors, Consultations, Roles, Auditors, Business
    Type
    PDF

  15. 11 April 2017

    Consultation paper Improving financial information in an equity PDS

    This consultation is for issuers, their advisors, investors and other interested parties. It aims to seek feedback on our proposed guidance and interpretations of the regulations.
    Tags
    Derivative Issuer, Discretionary investment management scheme (DIMS), Consultations, Roles, Business, Managed investment schemes
    Type
    PDF