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  1. 20 February 2023

    CoFI ID consultation feedback form

    This consultation feedback form relates to the proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.
    Tags
    Banking, Consultations, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Business
    Type
    Word document, Feedback form

  2. 20 February 2023

    Consultation CoFI id draft guidance

    This DRAFT guidance document relates to the consultation seeking feedback on proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.
    Tags
    Banking, Consultations, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Business
    Type
    PDF

  3. 23 April 2015

    DIMS limit breaks under the FMC Act

    This information sheet outlines the obligations of Discretionary Investment Management Services (DIMS) providers under the Financial Markets Conduct Act 2013 (FMC Act) relating to investment authority limits and reporting breaches of those limits.
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    PDF, Information Sheet

  4. 1 September 2021

    Customer vulnerability – our expectations for providers

    Customer vulnerability – our expectations for providers. This information sheet explains the FMA’s expectations for financial services firms to prioritise their customer vulnerability practices, focusing on areas we consider immediate priorities, updated Sept 2021.
    Tags
    Banking, Conduct, Roles, Business, Managed investment schemes
    Type
    PDF, Report

  5. 20 May 2019

    Audit Quality Perceptions - research summary 2019

    The FMA commissioned Buzz Channel to conduct research to help understand how users of audit services in New Zealand perceive auditors’ contribution to fair, efficient and transparent NZ financial markets.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF, Research

  6. 26 March 2020

    Managing impacts on financial reporting for FMC reporting entities and Managed Investment Schemes

    The rapidly evolving COVID-19 situation is having a significant impact on FMC reporting entities’ financial reporting obligations and the ability to perform audits. Auditors should continue to comply fully with required professional and ethical standards. It is important that sufficient time is taken by both the entity and the auditor to complete the annual financial reporting and auditing process, even if this results in a delay in reporting.
    The FMA specifies guidance to auditors for their reporting obligations in these uncertain times.
    Tags
    COVID-19, FMC Act, Legislation, Business, News & Insights
    Type
    Page, Financial reporting

  7. 2 July 2024

    Fair Conduct Programme

    A fair conduct programme (FCP) means effective policies, processes, systems and controls that are designed to ensure the financial institution’s compliance with the fair conduct principle.
    Tags
    Banking, Conduct, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Managed Investment Schemes, Roles, Business, Managed investment schemes
    Type
    Page

  8. 1 November 2014

    Declaration by director of relevant party to license

    Declaration form to be completed by director of a relevant party when the Applicant has applied for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, as defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Managed investment schemes, Peer-to-peer lending service providers, Roles, Licensing & registration, Declaration, Business
    Type
    Word document, Application form

  9. 1 November 2014

    Declaration by senior manager of relevant party

    This declaration form should be completed by senior managers of a relevant party when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Managed investment schemes, Peer-to-peer lending service providers, Licensing & registration, Roles, Declaration, Business
    Type
    Word document, Application form

  10. 1 November 2014

    Declaration by individual relevant party such as owner

    Declaration form to be completed by an individual relevant party such as an owner when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, as defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Managed investment schemes, Peer-to-peer lending service providers, Licensing & registration, Roles, Declaration, Business
    Type
    Word document, Application form

  11. 26 June 2015

    DIMS providers Calculation of returns for information sheet

    This information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    PDF, Information Sheet

  12. 23 May 2017

    Licensing guide - FMC Act

    To offer certain financial products and services in New Zealand, you need to be licensed. Being licensed shows your customers you meet the legal eligibility criteria and levels of compliance in the Financial Markets Conduct Act (FMC Act). This guide provides you with an understanding of your obligations under the Act when applying for a licence with the FMA.
    Tags
    FMC Act, Legislation, Licensing & registration, Business
    Type
    PDF

  13. 27 May 2021

    Reliance Trading Co Limited

    Reliance Trading Co Limited is not a registered New Zealand company and is not registered to provide financial products or services to New Zealand residents.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  14. 23 March 2020

    FMA COVID-19 Update 23 March 2020

    Update 23 March 2020: The Government has confirmed that financial services are essential services that need to continue to operate when New Zealand moves to Level 4 in its COVID-19 response.
    Tags
    COVID-19, Directors, Roles, Business, News & Insights
    Type
    Page