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Found 414 results. Displaying page 8 of 28

  1. 2 August 2023

    Exemptions

    The FMA has wide powers to provide exemptions to persons or transactions from some financial markets law requirements. These powers enable us to remove rigidities in the law and ensure requirements for businesses are reasonable and cost-effective. Read more about exemptions; exemption categories; how to apply for an exemption including digital advice exemptions on this page.
    Tags
    Exemptions, Business
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    Page

  2. 4 November 2021

    FMA speaks to MinterEllisonRuddWatts clients

    The FMA acting General Counsel, Karen Chang's speech to MinterEllisonRuddWatts clients on Thursday 4 November 2021.
    Tags
    Speeches and presentations , News & Insights, Enforcement
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    Page

  3. 28 February 2024

    Auditors

    Auditor regulation and oversight helps to ensure the businesses we regulate (known as FMC reporting entities) have access to competent auditors, and these audits (known as FMC audits) are of a high standard. This page explains who needs to comply with the FMA, licensing and registration requirements, costs, levies and waivers, obligations, along with a number of important guidance documents and reports that are relevant to Auditors in New Zealand.
    Tags
    Auditors, Obligations, Licensing & registration, Roles, Directors, Business
    Type
    Page

  4. 24 July 2020

    FMA publishes derivatives issuer Sector Risk Assessment

    A report identifying key risks in the Derivatives Issuer (DI) sector and highlighted future focus areas to improve sector compliance. Firms issuing derivatives to retail customers in New Zealand must be licensed by the FMA. The sector has approximately 23,000 accounts operated by retail customers.
    Tags
    Compliance, Cryptocurrencies, Derivatives, Governance, Regulation, Roles, Ways to invest, Investing, Media release, Business, Consumer, FMA, News & Insights
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    Page

  5. 14 October 2021

    FMA censures Jarden for derivatives issuer licence breaches by OMF

    FMA has formally censured Jarden Securities Limited for contraventions by OM Financial Limited (OMF) as a licensed derivatives issuer (DI).
    Tags
    Compliance, Derivative Issuer, Enforceable action, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page

  6. 9 May 2024

    Financial Markets Conduct (Abacus Storage King) Exemption Notice 2024

    The Financial Markets Conduct (Abacus Storage King) Exemption Notice 2024 (Notice) exempts Abacus Storage Operations Limited (ASOL) and Abacus Storage Property Trust (the Trust) (together the issuers), and Abacus Storage Funds Management Limited (ASFML) (as responsible entity for the Trust under Australian law) from compliance with the disclosure requirements in Part 3 of the Financial Markets Conduct Act 2013 Act (Act)
    Tags
    Exemptions, Business
    Type
    Page

  9. 1 July 2022

    Financial Markets Conduct (Goodman Group) Exemption Notice 2022

    The Financial Markets Conduct (Goodman Group) Exemption Notice 2022 (Exemption) provides relief for a five year period in relation to the offer of stapled securities to employees in New Zealand under an employee incentive scheme.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  10. 11 July 2019

    MBI International/MFC Club

    The FMA is concerned that a Malaysian based loyalty scheme, MBI International also trading as MFC Club (MFC Club) is being promoted in New Zealand. We have received reports that MFC Club is being actively promoted within the Chinese speaking community in Auckland.
    Tags
    Suspected scam, Scams
    Type
    Page

  11. 30 September 2021

    FMA steps up enforcement of anti-money laundering breaches

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has escalated its enforcement approach to non-compliance with New Zealand’s anti-money laundering and countering financing of terrorism (AML/CFT) rules, according to a new report.
    Tags
    AML/CFT, Roles, Reporting entities, Media release, Business, News & Insights, Enforcement
    Type
    Page

  12. 1 December 2016

    The end of the beginning for the new regime in financial services

    A decade in the making, today marks the beginning of a new era in the regulation of New Zealand’s financial markets. The introduction of a stronger regime overseeing financial markets, based on the good conduct of providers, has been in train since before the establishment of the Capital Markets Development Taskforce in 2008.
    Tags
    New Financial Advice regime, Media release, Business, News & Insights
    Type
    Page

  13. 13 September 2018

    Guide to being an effective director

    The essentials of being an effective director outlines some of the essential behaviours directors should demonstrate to meet legal, regulatory and ethical standards for directors, and tells you where you can go to find out more.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  14. 12 April 2012

    FMA calls for submissions on exemption reviews

    The Financial Markets Authority is seeking submissions from market participants, investors, representatives and advisers on review of 44 class exemption notices due to expire later this year.
    Tags
    Media release, News & Insights
    Type
    Page

  15. 27 June 2019

    Asia Region Funds Passport

    New Zealand, Australia, Japan, Korea and Thailand have agreed to establish and implement what is known as the Asia Region Funds Passport. Once implemented, the passport will allow a managed fund based in one jurisdiction to be offered more easily to investors in other participating jurisdictions.
    Tags
    Asia Region Funds Passport Register, Business
    Type
    Page