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  1. 14 February 2023

    Scam warning: NZ Residents contacted through WhatsApp to trade in cryptocurrencies

    WARNING: We have received a complaint from a New Zealand resident who was contacted by Global Venture, through WhatsApp, to trade in cryptocurrencies through their trading platform. We are concerned that Global Venture may be involved in a scam. Global Venture is unreasonably withholding the complainant’s funds and is requesting further funds to enable a withdrawal.
    Tags
    Suspected scam, Scams
    Type
    Page

  2. 16 March 2023

    How the FAP licence classes compare

    Before you apply for a Financial Advice Provider (FAP) licence, you’ll need to decide whether you want to be considered for a Class 1, Class 2, or Class 3 licence. Use this table as a general guide to help you determine the class of FAP licence that is best suited to you and your plans for your business.
    Tags
    Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  3. 4 May 2023

    Financial Markets Conduct (Sharesies KiwiSaver Scheme) Exemption Notice 2023

    The Notice exempts Sharesies Investment Management Limited (Sharesies) as manager of the Sharesies KiwiSaver Scheme (Scheme), and the self-select fund in the Scheme (self-select fund) from certain provisions of the Financial Markets Conduct Act 2013 (the FMC Act) and the Financial Markets Conduct Regulations 2014 (the FMC Regulations), and the Financial Markets Conduct (Fees) Regulations 2014.
    Tags
    Exemptions, Business
    Type
    Page

  4. 1 December 2014

    Transition to fmc act other types mis information sheet

    Timeline for other types of MIS to transition to the FMC Act. Other types of MIS includes a range of schemes, often tightly focused – eg property and forestry schemes. Note, excludes property and forestry schemes structured as companies (who generallyare classed as equity issuers).
    Tags
    FMC Act, Roles, Legislation, Business, Managed investment schemes, Supervisor
    Type
    PDF

  6. 16 August 2023

    Advisory: Financial Services Council conference speech by Clare Bolingford

    FMA, Executive Director for Regulatory Delivery, Clare Bolingford spoke to the Financial Services Council annual conference today, on the theme of building consumer confidence.
    Tags
    Media release, FMA people, Speeches and presentations , Conduct of Financial Institutions Bill (CoFI), Business, FMA, News & Insights
    Type
    Page

  7. 11 July 2019

    Cyber-resilience in FMA-regulated financial services guidance

    Cyber-resilience in FMA-regulated financial services report summarises the findings of our thematic review of cyber-resilience in New Zealand financial services and provides guidance for firms in areas where we have identified the need for improvement. It will be useful for our regulated sectors, to help ensure they comply with our expectations and best practice.
    Tags
    Derivative Issuer, Crowdfunding Service Provider, Financial Adviser, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Cryptocurrencies, Client money or property services provider, Authorised body under a FAP, Roles, Directors, Crowdfunding providers, Business, Interposed persons under new financial advice regime, FMA, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Page, Guidance

  8. 15 February 2018

    Designation of certain shares in investment companies as managed investment products

    Designation of certain shares to MIPs information sheet explains the class notice which designates certain shares in investment companies as managed investment products, and the company which issues them as a managed investment scheme.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  9. 5 September 2023

    Governance Thematic Review FMA and RBNZ

    This publication reports on the findings from a joint review of 29 entities across the banking, insurance, non-bank deposit taking and investment management sectors to assist boards to meet their obligations and help drive good governance outcomes.
    Tags
    Directors, Banking, Conduct, Reports and Papers, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Roles, Business, News & Insights
    Type
    PDF

  10. 28 May 2024

    Matthew Hill

    The FMA alleged that between February 2013 and July 2020, Mr Hill made dozens of posts on Sharetrader in a thread about New Talisman under two usernames, “bullish” and “Epithermal”. Mr Hill, who is also a director and shareholder of New Talisman, did not, at any point, disclose his involvement in the company, the FMA asserts in the claim. Mr Hill’s conduct was revealed in July 2020 when Sharetrader publicly identified him as the person behind the usernames.
    Tags
    Market manipulation, Cases, Enforcement
    Type
    Page

  11. 15 March 2021

    Audit quality – A director’s guide

    Audit quality – A director’s guide is aimed at directors of FMC reporting entities. It sets out how you, as a director can contribute to the audit quality of your audit, as well as what you can expect from the FMA and your auditor.
    Tags
    Directors, FMC Act, Roles, Legislation, Business
    Type
    Page

  12. 1 April 2019

    AML/CFT 2018 Annual Monitoring Report

    This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and its supporting regulations.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  13. 26 June 2015

    Calculation of returns for DIMS providers

    The Calculation of returns for DIMS providers 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
    Page, Guidance, Information Sheet

  14. 1 May 2014

    New governance and accountability framework for restricted schemes and their trustees

    The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for restricted schemes and their trustees in the New governance and accountability framework for restricted schemes and their trustees information sheet.
    Tags
    Independent trustee, Roles, Offer information, Offers of financial products, Business
    Type
    Page, Guidance

  15. 1 May 2014

    New governance and accountability framework for debt issuers and their licensed supervisors

    The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors in the New governance and accountability framework for debt issuers and their licensed supervisors information sheet.
    Tags
    Offer disclosure for equity and debt offers, Supervisors, Roles, Business
    Type
    Page, Guidance