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  4. 30 November 2022

    Financial Institutions Submissions report standard conditions

    Collation of written feedback received as part of the FMA’s
    public consultation on the proposed standard conditions for
    financial institution licences.
    Tags
    Banking, Consultations, Financial Institutions, Business
    Type
    PDF

  8. 12 December 2013

    Financial Conduct Authority United Kingdom - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Financial Conduct Authority United Kingdom
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  9. 15 October 2021

    Council of Financial Regulators (CoFR) - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Council of Financial Regulators (Reserve Bank of New Zealand; FMA; The Treasury; Ministry of Business, Innovation and Employment (MBIE) and Commerce Commission
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  15. 9 November 2022

    Monitoring of licensed Financial Advice Providers (FAPs)

    The Monitoring of licensed Financial Advice Providers information sheet explains how we carry out monitoring activities, what we expect of you, and what you can expect from us.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance