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  2. 1 December 2020

    Who will need a licence to provide financial advice

    The changes to how we regulate financial advice in New Zealand mean only those operating under licensed financial advice providers can give advice to retail clients. This fact sheet was drafted by the FMA ahead of the new financial advice regime to assist in helping navigate the new regime as a potential licence holder.
    Tags
    Financial Adviser, Roles, Financial Advice Provider, Licensing & registration, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    PDF, Information Sheet

  3. 1 December 2020

    Who will need a licence to provide financial advice?

    Only those operating under licensed financial advice providers can give advice to retail clients. This advice can be provided in various ways, including directly through online facilities such as digital advice, or through financial advisers or nominated representatives.
    Tags
    Financial Advice Provider, Licensing & registration, Roles, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    Page, Guidance

  4. 28 June 2017

    Ice Futures Europe review 2017

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
    We are required to report, at least once every two years
    on how well IFUS is meeting its obligations as a licensed
    market operator. This review covers the period 1 December 2014 to 31 December 2016. This is our first review of
    IFUS since it became licensed on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  5. 13 December 2016

    ASX 24 review 2016

    Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives
    market) in New Zealand. We are required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations. This review period covers 1 July 2014 to 30 June 2016. This is our first review of ASX 24 since its licence came into effect on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  6. 28 June 2017

    Ice Futures US review 2017

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
    We are required to report, at least once every two years
    on how well IFUS is meeting its obligations as a licensed
    market operator. This review covers the period 1 December 2014 to 31 December 2016. This is our first review of
    IFUS since it became licensed on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  7. 25 October 2018

    Kingsman Investment Limited

    We recommend exercising caution before dealing with Kingsman as it is not licensed or regulated to provide financial services in New Zealand.
    Tags
    Type
    Page

  8. 24 November 2023

    Audit Quality Monitoring Report

    The Audit Quality Monitoring Report 2023 emphasises that high-quality audits are vital to ensuring investors can make active choices based on clear, concise, and effective information.
    Tags
    Auditors, Roles, Directors, Reports and Papers, Business
    Type
    Page, Report

  9. 1 June 2013

    Securities trustees and statutory supervisors monitoring guidance

    This guidance note is for licensed securities trustees and statutory supervisors. It sets out the Financial Market Authority’s (FMA) expectations of how they will carry out their monitoring functions effectively.
    Tags
    Reporting entities, Roles, Business, Supervisor
    Type
    PDF, Guidance

  10. 13 December 2019

    MIS custody arrangements thematic review 2019

    For any managed investment scheme it’s important that scheme property – money and investments – is kept safe. The function of looking after scheme property is called custody. Under the Financial Markets Conduct Act 2013 (FMC Act), custody for retail managed investment schemes is the responsibility of the independent licensed supervisor. This separates custody functions from management of the scheme, and provides an additional layer of protection for investors.
    Tags
    Reports and Papers, Derivative Issuer, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF, Report

  11. 26 May 2022

    Record keeping for financial advice providers

    This information sheet sets out our expectations for how licensed financial advice providers (FAPs) can demonstrate compliance with the standard condition for record keeping.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance

  12. 1 June 2013

    Securities trustees and statutory supervisors monitoring

    Securities trustees and statutory supervisors monitoring guidance note is for licensed securities trustees and statutory supervisors. It sets out the Financial Market Authority’s (FMA) expectations of how they will carry out their monitoring functions effectively.
    Tags
    Independent trustee, Roles, Supervisors, Business
    Type
    Page, Guidance

  13. 15 March 2021

    Problems with your financial adviser

    All licensed financial advice providers must be part of an approved Dispute Resolution Scheme. This means they’re required to send complaints to an agreed third party to sort out if your complaint cannot be resolved directly with you.
    Tags
    Financial advice, Get advice, Investing, Consumer
    Type
    Page

  14. 22 January 2024

    Independent trustees

    You'll need a licence if you are appointed as an independent trustee of a restricted KiwiSaver scheme or a workplace superannuation or legacy scheme. Every restricted managed investment scheme must have at least one licensed independent trustee. See more about the licensing and registration and compliance obligations of independent trustees on this page.
    Tags
    Compliance, Independent trustee, Roles, Obligations, Licensing & registration, Business
    Type
    Page

  15. 22 November 2021

    GrayWallet

    Warning: We believe GrayWallet is operating a scam via www.gwtpro.net and www.gwt-pro.org (the websites). The websites offer cryptocurrency wallet services to investors. We are aware of an investor using GrayWallet’s wallet services to invest and being unable to withdraw their cryptocurrency.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page