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  1. 20 February 2023

    The FMA opens consultation on draft guidance for the intermediated distribution of financial products

    FMA is seeking consultation feedback on proposed guidance that covers arrangements where financial institutions distribute products and services through intermediaries.
    Tags
    Media release, Authorised body under a FAP, Banking, Consultations, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Roles, Managed Investment Schemes, Business, Managed investment schemes, News & Insights
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  2. 20 July 2022

    FMA opens consultation on standard conditions for financial institution licences

    Consultation paper on proposed standard conditions for licences granted under the Financial Markets (Conduct of Institutions) Amendment Act 2022.
    Tags
    Banking, Consultations, Insurance Providers, Media release, Conduct of Financial Institutions Bill (CoFI), Managed Investment Schemes, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page

  3. 5 April 2022

    Clare Bolingford speech at FSC Connect

    Transcript of speech by FMA's Director of Banking and Insurance, Clare Bollingford, at FSC Connect Panel where she talks about emerging trends in conduct regulation.
    Tags
    Financial Advice Provider, FMA people, Roles, Speeches and presentations , Conduct of Financial Institutions Bill (CoFI), Business, FMA, News & Insights
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    Page

  4. 19 October 2021

    Rob Everett speaks at the FSC Conference 2021

    Transcript of speech by Rob Everett, Chief Executive, Financial Markets Authority, at the FSC Conference 2021.
    Tags
    Speeches and presentations , Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Financial Advice Provider, Financial Adviser, Independent trustee, Conduct, Roles, Business, Interposed persons under new financial advice regime, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Nominated representatives
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  5. 20 October 2022

    Key terms under the CoFI regime

    The Financial Markets (Conduct of Institutions) Amendment Act 2022 has introduced some key terms to describe the framework for regulating the conduct of financial institutions in New Zealand – also known as the CoFI regime. This page lists some of the key terms and their definitions.
    Tags
    Conduct of Financial Institutions Bill (CoFI), Banking, Conduct, Insurance Providers, Financial Institutions, Ways to invest, Investing, Managed Investment Schemes, Roles, Business, Consumer, Managed investment schemes
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    Page

  6. 17 November 2015

    Consultation paper: Proposed variations to standard conditions of market services licences

    Consultation paper: Proposed variations to standard conditions of market services licences. This seeks to gather views on proposed variations to the standard conditions for Financial Markets Conduct Act 2013 (FMC Act) licences
    Tags
    Roles, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Consultations, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Financial reporting

  8. 30 November 2022

    Legislation

    The FMA oversees a range of financial markets legislation. We also have certain powers, monitor compliance, investigate and enforce conduct that may constitute a contravention of other legislation, where it applies to financial market firms and individuals. View all the legislation we oversee on this page.
    Tags
    Legislation, Fair dealing, New Financial Advice regime, FMC Act, Regulatory cooperation, Conduct of Financial Institutions Bill (CoFI), Financial Services Legislation Amendment Act (FSLAA), Business, FMA
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  9. 27 February 2018

    Oproserv Limited

    FMA notes a recent warning by the Australian Securities and Investments Commission (ASIC) in relation to Oproserv Limited.
    Tags
    International regulator alerts, Scams
    Type
    Page

  10. 23 June 2023

    FMA publishes Climate Related Disclosure record keeping draft guidance for consultation

    The FMA has published three documents to support Climate Reporting Entities (CREs) in meeting their obligations under the new Climate Related Disclosure (CRD) reporting requirements.
    Tags
    Media release, Banking, Insurance Providers, Climate related disclosure, Financial Institutions, Managed Investment Schemes, Supervisors, Roles, Authorised body under a FAP, Business, Managed investment schemes, News & Insights
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  11. 24 May 2017

    Licensing overview report

    What we found and what you need to know to meet your licence obligations.with the FMA.
    Tags
    Reports and Papers, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Licensing & registration, Roles, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
    Type
    Page, Report

  12. 13 December 2019

    Thematic review of MIS custody arrangements

    The thematic review of MIS custody arrangements identified issues around the independence of custody arrangements, and inconsistency of custodial processes, procedures and controls. Read the full report here.
    Tags
    Roles, Reports and Papers, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
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    Page

  13. 26 June 2023

    FMA publishes final guidance for the intermediated distribution of financial products

    The FMA today published its final guidance for financial institutions that distribute products and services through intermediaries as part of the Conduct of Financial Institutions (CoFI) regime.
    Tags
    Media release, Banking, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Roles, Business, News & Insights, Supervisor
    Type
    Page, Guidance

  14. 30 June 2023

    Offers under the FMC Act

    Anyone offering financial products for issue or sale needs to comply with financial markets legislation. The Financial Markets Conduct Act 2013 (FMC Act) defines these people as issuers. See more on how they are defined and other disclosure requirements.
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    Type
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  15. 7 April 2022

    FMA issues new infringement notice against crowdfunding platform Equitise

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has issued another infringement notice to Equitise Pty Ltd for failing to file financial statements on time, amid broader concerns about the firm’s ability to meet regulatory reporting deadlines.
    Tags
    Crowdfunding providers, Enforceable action, Roles, Media release, Business, News & Insights, Enforcement
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