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  1. 18 May 2022

    Findings from MIS manager Value For Money self-assessment tool pilot

    The FMA’s 2021 guidance on managed fund fees and value for money introduces an expectation for Managed Investment Scheme (MIS) managers to carry out regular reviews of scheme fees and whether customers are receiving value for money.
    Tags
    Reports and Papers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page

  3. 23 March 2021

    Investment warnings signs

    Tips to spot investment warning signs that signal it's time to get out of an investment.
    Tags
    Shares, Ways to invest, Investing, Article, Consumer, News & Insights
    Type
    Page

  4. 24 November 2015

    Consultation paper: Draft guidance on risk indicators and descriptions of managed funds

    Consultation paper: Draft guidance on risk indicators and descriptions of managed funds. This consultation paper proposes guidance on how managed funds should describe a fund’s risk category, the methodology for calculating risk indicators, what to look out for when naming the funds to reflect their risk profile, and when to update investors when a fund’s risk category changes.
    Tags
    Offer information, Managed investment schemes, Roles, Business
    Type
    Page

  5. 9 May 2017

    IMF NZ FSAP Assessment 2017

    The FMA welcomes the publication of the International Monetary Fund’s Financial System Stability Assessment (FSSA) for New Zealand.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  6. 4 November 2021

    Record keeping self assessment tool

    Keeping accurate records of the financial advice you provide helps maintain a relationship of transparency and trust with your clients. It also ensures you can provide evidence of how you have complied with your licensee obligations as and when required.
    Use this self-assessment tool to see if you’re ready to complete the record keeping section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.
    Tags
    Financial Adviser, New Financial Advice regime, Roles, Business
    Type
    PDF

  7. 12 July 2022

    Self assessment tool complaints handling

    Use this self-assessment tool to see if you’re ready to complete the complaints handling section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Roles, Business
    Type
    PDF

  8. 27 March 2023

    AML/CFT FAQs

    Frequently asked questions answered about AML/CFT and obligations of reporting entities in New Zealand.
    Tags
    AML/CFT, Roles, Business
    Type
    Page

  10. 5 December 2022

    How to identify a product disclosure statement (PDS) or prospectus scam

    FMA has issued this article about how to identify and avoid PDS or prospectus scams as a result of an increase in fake investment documents targeting New Zealand investors.
    Tags
    Investor information, Suspected scam, Article, Consumer, News & Insights, Scams
    Type
    Page

  11. 8 April 2024

    Discretionary Investment Management Service (DIMS)

    To provide discretionary investment management services (DIMS) under the FMC Act you must hold a DIMS market services licence issued under the FMA Act. Find out more about the licensing, fees associated with licensing, compliance obligations and exemptions available to this role in New Zealand.
    Tags
    Compliance, Discretionary investment management scheme (DIMS), Obligations, Licensing & registration, Roles, Business
    Type
    Page

  12. 3 February 2023

    RISK SPECIALISTS LIMITED

    RISK SPECIALISTS LIMITED (FSP101887) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  13. 10 February 2023

    MAXIM RISK LIMITED

    MAXIM RISK LIMITED is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  15. 23 April 2024

    liquidity risk management guide

    This FMA guide outlines how Managers and Supervisors can demonstrate they are effectively managing and overseeing liquidity risk.
    Tags
    Managed Investment Schemes, Supervisors, Roles, Business, Managed investment schemes
    Type
    PDF, Guidance