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  1. 3 June 2016

    Investigation into Morgan Cooper Limited

    We are investigating a complaint received in relation to Morgan Cooper Limited (MCL) and a Mr Rodney McCall (aka Rodney Crichton) for potential contraventions of financial markets legislation.
    Tags
    Scams
    Type
    Page

  2. 16 November 2011

    FMA consults on auditor licensing and audit firm registration

    The Financial Markets Authority has published on its website a report written by management consultants Oliver Wyman detailing the findings of local stakeholder research. The research was conducted at the point FMA was established earlier in 2011.
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page

  3. 13 May 2020

    Campaign to raise scam awareness among Pacific communities as reports rise

    The FMA has seen a steady increase in complaints about a variety of scams since the beginning of March. The most reported scam was a cryptocurrency campaign on social media using fake news articles and false celebrity endorsements to promote Bitcoin investments.
    Tags
    Cryptocurrencies, FMA stories, Roles, Media release, Business, Consumer, News & Insights
    Type
    Page

  4. 21 October 2010

    Review Highlights Need for Better Valuation Disclosure (Oct-2010)

    The Commissioner for Financial Advisers has taken the last formal step required for the introduction of the new financial advisers regulatory regime, with publication in the Gazette that 1 December 2010 will be the date on which the Code of Professional Conduct for Authorised Financial Advisers (AFAs) comes into effect.
    Tags
    Media release, News & Insights
    Type
    Page

  5. 24 March 2020

    FMA COVID-19 Update 24 March 2020

    Update 24 March 2020: Financial advice is not covered by the definition from the Government of workplaces/offices that need to remain open but it clearly remains an important service.
    Tags
    COVID-19, New Financial Advice regime, Financial Adviser, Roles, Business, News & Insights
    Type
    Page

  7. 23 August 2019

    Standard conditions for independent trustee corporates

    If the FMA grants you an independent trustee licence (as a corporate), the licence will be subject to conditions as set out in section 402 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Independent trustee, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  8. 23 August 2019

    Standard conditions for independent trustee individuals

    If the FMA grants you an independent trustee licence (as an individual), the licence will be subject to conditions as set out in section 402 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Independent trustee, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  9. 17 November 2015

    Consultation proposed variations to standard conditions of market services licences

    It aims to seek feedback from FMC Act market service
    licensees on a proposal requiring the licensees’ governing
    bodies to declare, annually, they have complied with
    conditions for their licence. It explains: proposed changes to standard conditions for FMC Act licences.
    Tags
    Consultations, Standard conditions, Licensing & registration, Business
    Type
    PDF

  12. 9 December 2020

    Consultation Standard conditions FAP submissions combined part one

    Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.
    Tags
    Financial Advice Provider, Consultations, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  13. 9 December 2020

    Consultation Standard conditions FAP submissions combined part two

    Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.
    Tags
    Financial Advice Provider, Consultations, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  14. 5 November 2020

    FAP standard conditions full licence RIS

    This Regulatory Impact Statement (RIS) discusses standard conditions for financial advice provider (FAP) licences, to be
    imposed by the FMA.
    Tags
    RIS, Financial Advice Provider, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  15. 7 April 2016

    Consultation Paper Exemption for small offers of co operative shares

    This consultation is for: co-operative companies, industrial and provident societies, and their respective industry bodies, investors and advisers. It aims to: seek views on our proposals for exemptive relief under the FMC Act for certain offers of cooperative shares.
    Tags
    Consultations, FMC Act, Legislation, Business
    Type
    PDF