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  1. 7 June 2018

    Auditor regulation and oversight plan 2018-2021

    FMA has an obligation to publish an auditor regulation and oversight plan by 30 June each year, for a three year period, setting out our intentions for the regulation and oversight of auditors under the Act. This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. It may also be of interest to issuers, investors and their advisers.
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF

  2. 3 September 2015

    Consultation paper auditor regulation act amendmment

    This consultation is for licensed auditors and registered audit
    firms. It aims to seek views from licensed auditors and registered audit firms on the proposed changes to the Auditor Regulation Act (Prescribed Minimum Standards and
    Conditions for Licensed Auditors and Registered Firms) Notice 2012.
    Tags
    Auditors, Consultations, Roles, Business
    Type
    PDF

  3. 23 June 2017

    Auditor regulation and oversight plan 2017 2020

    The Auditor regulation and oversight plan, 2017-2020 is for Auditors or people who prepare financial statements.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  5. 30 November 2014

    Financial regulation and registration requirements for marinas information sheet

    The Financial Markets Conduct Act 2013 (FMC Act) changes the way interests in marinas are regulated. Marinas will generally not be regulated under the FMC Act and will no longer need to register on the Financial Service Providers Register. Published November 2014.
    Tags
    Roles, Offer information, Business, Supervisor
    Type
    PDF, Information Sheet, Guidance

  7. 1 July 2021

    AML/CFT Regulation Update 2021

    New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) system is intended to adapt as money laundering and terrorism financing risks evolve. Two regulations, that are a key part of the AML/CFT system, were due to expire. These are the AML/CFT (Exemptions) Regulations 2011 which were scheduled to expire on 30 June 2020, and the AML/CFT (Definitions) Regulations 2011 which partially expire on 27 July 2021.
    Tags
    AML/CFT, Directors, Regulation updates, Roles, Business
    Type
    PDF, Guidance

  8. 7 June 2018

    Auditor regulation and oversight plan 2018-2021

    FMA has an obligation to publish an auditor regulation and oversight plan by 30 June each year, for a three year period, setting out our intentions for the regulation and oversight of auditors under the Act. This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. It may also be of interest to issuers, investors and their advisers.
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF

  10. 20 June 2024

    Auditor Regulation and Oversight Plan 2024 2027

    This document is for: Registered auditors, Accredited bodies, People who prepare financial statements for FMC reporting entities, Directors of FMC reporting entities
    Tags
    Auditors, Regulation, Roles, Business
    Type
    PDF, Report

  11. 9 July 2007

    Kiwiplan NZ

    Kiwiplan NZ is a KiwiSaver exempt employer
    Tags
    KiwiSaver Exempt Employer, Business
    Type
    Page

  13. 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

  15. 22 September 2020

    FMA prevents CLSA Premium NZ Limited (formerly KVB Kunlun) from offering derivatives to retail investors

    The Financial Markets Authority (FMA) has imposed conditions on the derivatives issuer licence of CLSA Premium New Zealand Limited (CLSAP NZ, formerly KVB Kunlun) that prevent the firm from making an offer to or receiving further funds from, retail investors in relation to derivatives.
    Tags
    Derivatives, Regulation, Ways to invest, Investing, Media release, Business, Consumer, News & Insights, Enforcement
    Type
    Page, Financial reporting