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  1. 15 June 2023

    Uoncrypto – Unregistered, withdrawal fees demanded

    We recommend caution when dealing with Uoncrypto.com. Uoncrypto offers New Zealanders investment plans with unrealistically high returns on crypto products but is not registered on the financial service providers register (FSPR) to provide financial services in New Zealand.
    Tags
    Investor warning, Consumer
    Type
    Page

  4. 10 December 2015

    Consultation Class designation of shares to MIPs in an MIS

    This consultation is for offerors, managers, supervisors, investors, legal advisers and interested parties. It aims to: gain feedback on the impact of class designations that would treat shares as managed investment products in a managed investment scheme.
    Tags
    Consultations, Roles, Business, Managed investment schemes
    Type
    PDF

  5. 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

  6. 30 October 2014

    Reporting duties under Part 4 of the FMC Act

    This information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.
    Tags
    Client money or property services provider, Roles, Auditors, Offer disclosure for equity and debt offers, Business, Managed investment schemes, Supervisor
    Type
    PDF, Information Sheet

  7. 1 October 2014

    Reporting duties under Part 4 of the FMC Act Information Sheet and Table

    This information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.
    Tags
    Auditors, Roles, Offer disclosure for equity and debt offers, Business, Managed investment schemes, Supervisor
    Type
    PDF, Information Sheet

  9. 4 November 2021

    FMA speaks to MinterEllisonRuddWatts clients

    The FMA acting General Counsel, Karen Chang's speech to MinterEllisonRuddWatts clients on Thursday 4 November 2021.
    Tags
    Speeches and presentations , News & Insights, Enforcement
    Type
    Page

  10. 28 June 2021

    A guide to talking about money online

    Talking about money or investing can cross over into providing financial advice. This is a guide for consumers, social media influencers, bloggers and anyone wanting to discuss money matters online.
    Tags
    Financial advice, Reports and Papers, Article, Consumer, News & Insights
    Type
    Page, Resource

  11. 4 December 2023

    ‘5 mins with the FMA’ podcast #10: What is outcomes focused regulation?

    In this special episode of our 5 mins with the FMA podcast, we take a look at outcomes- focused regulation with Liam Mason, FMA Executive Director of Evaluation and Oversight and General Counsel.
    Tags
    Offers of financial products, Auditors, Discretionary Investment Management Services (DIMS), Managed Investment Schemes, Market operator, Supervisors, Climate Reporting Entities, Podcast, Financial Advice Provider, Derivative Issuer, Directors, Cryptocurrencies, Authorised body under a FAP, Conduct, Roles, Business, Interposed persons under new financial advice regime, News & Insights, Peer-to-peer lending service providers
    Type
    Podcast, Page

  12. 13 November 2020

    FMA monitoring shows steady improvement in quality of listed company audits

    The Financial Markets Authority released its Audit Quality Monitoring Report for 2020. Audit quality has continued to improve, with the overall number of issues discovered by the FMA reducing over time.
    Tags
    Regulation, Media release, Auditors, Roles, Business, News & Insights
    Type
    Page

  14. 27 January 2023

    FMA Investor Profile - Jane Wrightson

    Retirement Commissioner, Jane Wrightson describes herself as a ‘life-long learner’ in this FMA investor profile.
    Tags
    Article, KiwiSaver & Superannuation, Consumer, News & Insights
    Type
    Page

  15. 20 November 2014

    The FMA reports on its 12 month performance

    The Financial Markets Authority (FMA) has published its 2014 annual report for the year ended 30 June 2014. During this period the FMA began implementing the largest statutory change in financial services in 30 years. Engaging with the industry to implement the Financial Markets Conduct Act 2013(FMC Act) was one of six major achievements outlined in the report, as the FMA continued to deliver its ongoing regulatory responsibilities.
    Tags
    Media release, FMA, News & Insights
    Type
    Page, Financial reporting