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  1. 11 July 2019

    Cyber resilience in FMA regulated financial services

    This report 2019 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
    Financial Adviser, FMC Act, Reports and Papers, Roles, Legislation, Business, News & Insights
    Type
    PDF

  2. 17 March 2011

    Commission Warns About More Unsolicited Offers

    The Securities Commission is alerting investors to be wary of further unsolicited offers from NZ Investment Securities LP for Vector Limited shares and Carlyle Securities LP for Contact Energy shares.
    Tags
    Scams
    Type
    Page

  3. 13 March 2015

    Financial Markets Conduct Act exemptions consultation paper

    The offer and management of most financial products will fall under the standard ‘regulated offer’ regime or within the Schedule 1 statutory exclusions. However, there are a few areas where the FMA may need to use class exemptions, frameworks, or methodologies and designations (the FMA’s
    legislative tools).
    We want preliminary comments on matters we believe should be considered for support by the
    FMA’s legislative tools, but for which we have not yet developed policy proposals. Your feedback will
    be considered in the development of our proposals
    Tags
    Consultations, FMC Act, Legislation, Business
    Type
    PDF

  4. 30 November 2016

    Audit Quality Monitoring report 2016

    Our quality reviews of audit firms help improve audit quality standards and ensure that audit opinions are reliable. These reviews also help us achieve our strategic goal of ensuring that investors have access to resources which help them make better informed financial decisions. In this year’s report, we also draw attention to our expectations of directors and auditors of financial statements and the key focus areas which our stakeholders need to be aware of.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  5. 2 August 2021

    Retail Investor Platforms Research

    The objectives of the research were to understand the type of profile of investors in retail platforms; their risks and behaviours within these platforms and motivations and influences that brought them to where they are. The research was conducted by Colmar Brunton in July 2021
    Tags
    Business, FMA
    Type
    PDF, Research

  6. 28 February 2013

    FMA's Compliance Focus for 2013

    This document outlines the Financial Markets Authority’s (FMA’s) priority areas for monitoring and surveillance in 2013. It provides an opportunity for participants to assess their activities and take steps to improve behaviours and compliance controls in these areas.
    Tags
    Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Paper

  7. 9 August 2019

    Guidance on Expired Passports as Identification for Customer Due Diligence

    The AML/CFT supervisors have become aware of the need for clear guidance on the use of expired passports as part of Customer Due Diligence procedures and how it relates to the
    Amended Identity Verification Code of Practice 2013 (‘the code’).
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Guidance

  8. 1 September 2014

    Superannuation Schemes Report 2014

    This report has been prepared in accordance with section 28 of the Act and details the principal matters transacted under the Act during the period 1 July 2013 to 30 June 2014 (the
    Reporting Period). It is produced solely in respect of registered superannuation schemes and does not include any KiwiSaver scheme data. The FMA has prepared a separate report for KiwiSaver schemes in respect of the Reporting Period.
    Tags
    Reports and Papers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF

  9. 18 May 2023

    Exemption Notice - Embark Early Education Limited

    The Financial Markets Conduct (Embark Early Education Limited) Exemption Notice 2023 exempts Embark Early Education Limited (Embark AU) from Part 3 of the Financial Markets Conduct Act 2013 (the Act) in relation to shares in Embark AU that are to be offered to eligible shareholders under a proposed scheme of arrangement pursuant to Part 15 of the Companies Act 1993.
    Tags
    FMC Act, Exemptions, Legislation, Business
    Type
    PDF, Exemption notice, Financial Markets Conduct Act exemptions, Current

  10. 30 May 2022

    Exemption Notice - Stride Property Group

    The Financial Markets Conduct (Stride Property Group) Exemption Notice 2022 allows Stride Property Limited (SPL) and Stride Investment Management Limited Stride (SIML), as stapled entities (Stride Property Group), to prepare consolidated financial statements for the purposes of subpart 3 of Part 7 of the Financial Markets Conduct Act 2013 (the Act).
    Tags
    Exemptions, Business
    Type
    PDF

  11. 9 June 2015

    Statement of Intent 2015

    This Statement of Intent further develops our strategic direction for the coming four years from July 2015 to
    June 2019 and has been prepared in accordance with Part 4 of the Crown Entities Act 2004. It should be read in
    conjunction with the Statement of Performance Expectations for each year. This report was published in 2015.
    Tags
    Type
    PDF, Statement of intent, Corporate publications

  12. 18 June 2015

    Statement of Intent 2015

    This Statement of Intent further develops our strategic direction for the coming four years from July 2015 to
    June 2019 and has been prepared in accordance with Part 4 of the Crown Entities Act 2004. It should be read in
    conjunction with the Statement of Performance Expectations for each year. This is the 2015 report.
    Tags
    Type
    PDF, Statement of intent, Corporate publications

  13. 27 June 2023

    Statement of Performance Expectations 2023 to 2024

    This SPE sets out our financial forecast for the financial year 1 July 2023 to 30 June 2024. It is prepared in line with the
    Crown Entities Act 2004 and should be read together with the FMA’s Statement of Intent 2021-2024.
    Tags
    Type
    PDF, Corporate publications, Statement of Performance Expectations

  14. 1 August 2013

    AML/CFT - wire transfers fact sheet

    The Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) contains a set of obligations for reporting entities to enhance the transparency of wire transfers. Wire transfers have been assessed in the National Risk Assessment as presenting a high risk of money laundering in New Zealand, which is consistent with experience overseas.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Fact sheet

  15. 7 May 2019

    Code of Professional Conduct for Financial Advice Services

    The Code of Professional Conduct for Financial Advice Services is prepared in accordance with Part 4 of Schedule 5 of the Financial Markets Conduct Act 2013 (the FMC Act). The Code supports the purposes of the FMC Act including promoting the confident and informed participation of businesses, investors, and consumers in the financial markets, avoiding unnecessary compliance costs, and ensuring the availability and quality of financial advice.
    Tags
    Financial Advice Provider, Conduct, Roles, Business
    Type
    Page, Guidance