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  1. 1 June 2014

    FMA’s supervision of Anti-Money Laundering and Countering Financing of Terrorism

    This 2014 document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities
    under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).
    Tags
    AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF

  4. 21 September 2023

    IM Academy – Overseas warnings

    We recommend caution when dealing with IM Academy. Several overseas regulators have issued public warnings about IM Academy, including the recent warning issued by the Commission de Surveillance du Secteur Financier, Luxembourg (CSSF) on 24 May 2023
    Tags
    International regulator alerts, Investor warning, Consumer, Scams
    Type
    Page

  5. 4 November 2019

    FMA successfully defends FSPR appeal by FXBTG Financial Limited

    The Financial Markets Authority (FMA) has welcomed a High Court ruling upholding a direction by the FMA to de-register foreign exchange firm FXBTG Financial Limited.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  6. 3 September 2021

    Spotlight on Crypto: Using New Zealand based cryptocurrency trading platforms

    Cryptocurrencies are highly volatile, and many investors have been attracted to the spectacular gains in recent times. In this article, the FMA talks about the things you can do to protect yourself if you’re determined to invest in cryptocurrency.
    Tags
    Cryptocurrencies, Roles, FMA stories, Article, Business, Consumer, News & Insights
    Type
    Page

  8. 31 August 2022

    DECISIONMAKERS AUCKLAND LIMITED

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

  9. 9 March 2015

    FMA spells out practical approach to supervision responsibilities under new law

    FMA has spelt out its practical approach to its supervision responsibilities, as the financial services and markets regulator increases the emphasis on supervision under the newly-effective FMC Act 2013.
    Tags
    Governance, FMC Act, Media release, Legislation, Business, FMA, News & Insights
    Type
    Page

  10. 24 August 2016

    Aug 2016 Regulatory response guidelines

    This is a guide on how we regulate financial markets and the responses we use in enforcing legislation. It is for all individuals and businesses involved in providing financial market products and services.
    Tags
    FMA people, Regulation, Business, FMA
    Type
    PDF, Guidance

  11. 25 March 2021

    Consultation Response to submissions regulatory returns DI MIS DIMS

    Response to consultation submissions: Content of regulatory returns for licensed DI, MIS managers and DIMS providers.
    Tags
    Derivative Issuer, Discretionary investment management scheme (DIMS), Managed investment schemes, Consultations, Roles, Business
    Type
    PDF

  12. 9 April 2020

    CoFR table of deferred regulatory initiatives April 2020

    The table provides a comprehensive list of the regulatory initiatives that are being deferred during the Covid-19 crisis.
    Tags
    COVID-19, Council of financial regulators (CoFR), FMA, News & Insights
    Type
    PDF

  13. 1 July 2021

    FAP Licensing Application Guide Class 1 questions

    FAP Licensing Application Guide Class 1 questions: This document contains the questions you will be asked when applying for a Class 1 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.
    Tags
    Financial Advice Provider, Roles, Licence guide, Licensing & registration, Business
    Type
    PDF

  14. 1 October 2020

    COVID-19: Timetable of deferred Regulatory initiatives

    The table provides a list of the regulatory initiatives that are being deferred during the Covid-19 Alert Levels in August and September 2021. These deferrals will enable banks and other financial services firms to focus their efforts more effectively on continuing to operate smoothly and providing credit and other support to individuals and businesses.
    Tags
    COVID-19, News & Insights
    Type
    PDF, Notice

  15. 1 September 2021

    FAP Licensing Application Guide Class 2 questions

    FAP Licensing Application Guide Class 2 questions: This document contains the questions you will be asked when applying for a Class 2 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.
    Tags
    Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF