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Found 1611 results. Displaying page 100 of 108

  1. 7 September 2020

    AFOManagement

    AFOManagement and its website have the hallmarks of a scam
    Tags
    Suspected scam, Scams
    Type
    Page

  2. 15 March 2023

    How to apply for a FAP licence

    This page provides a step by step process for how you apply for a FAP licence.
    Tags
    Financial Advice Provider, Licensing & registration, Roles, Business
    Type
    Page

  3. 29 August 2023

    Cryptotrusthub – Imposter website, unreasonable withdrawal fees

    We are aware that a New Zealand resident who put money into Cryptotrusthub has had difficulty withdrawing funds. We are concerned that Cryptotrusthub has features of a scam.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  4. 8 August 2022

    Conduct

    Conduct is how market participants behave and how they serve the needs of customers. It is about how a business operates as a whole, and it’s driven by the culture and the governance of the organisation.This page explains the FMA's expectation of conduct by organisations that fall under its remit
    Tags
    AML/CFT, Roles, Conduct, Independent trustee, Financial Adviser, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Derivative Issuer, Directors, Cryptocurrencies, Crowdfunding providers, Client money or property services provider, Authorised body under a FAP, Auditors, Business, Interposed persons under new financial advice regime, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Page

  5. 12 November 2012

    2012 Stakeholder Survey

    View the Executive Summary of the stakeholder survey conducted by Colmar Brunton on behalf of FMA in 2012.
    Tags
    Financial Advice Provider, Roles, Independent trustee, Financial market infrastructures, Financial Adviser, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Derivative Issuer, Cryptocurrencies, Crowdfunding providers, Client money or property services provider, Authorised body under a FAP, Auditors, Administrators of financial benchmarks, Directors, Reports and Papers, Business, Interposed persons under new financial advice regime, FMA, Managed investment schemes, News & Insights, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Research, Surveys, Page

  6. 28 June 2023

    Reports and papers

    The FMA publishes a range of different research papers, reports and thematic reviews every year covering a range of topics from regulation updates to research or white papers that are relevant to market participants. View a full list of our published reports and papers on this page.
    Tags
    Reports and Papers, News & Insights
    Type
    Page

  7. 15 March 2022

    Articles

    Articles from the FMA about the financial services industry and investing are published on this page
    Tags
    News, News & Insights
    Type
    Page

  8. 21 July 2022

    Research

    Research conducted by the FMA about financial service providers, products and consumers is published on this page.
    Tags
    News, News & Insights
    Type
    Page, Research

  9. 14 February 2023

    Guidance and expectations for keeping proper accounting records

    Guidance and expectations to help FMC reporting entities to meet their statutory requirement to keep proper accounting records at all times.
    Tags
    Auditors, Offer disclosure for equity and debt offers, Roles, Business
    Type
    Page, Guidance, Financial reporting

  10. 2 February 2017

    A guide to the FMA's view of conduct

    A guide to FMA's view of conduct guide describes why good conduct matters and how high standards of conduct support fair, efficient and transparent markets. This handbook is intended as a reference for directors, executives and advisers to decide how best to apply the principles for corporate governance to their particular entity.
    Tags
    Derivative Issuer, Conduct, Independent trustee, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Cryptocurrencies, Crowdfunding providers, Authorised body under a FAP, Auditors, Roles, Financial Adviser, Directors, Client money or property services provider, Business, Interposed persons under new financial advice regime, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Page, Guidance

  11. 22 November 2019

    AML/CFT Supervisory framework

    This guidance note describes the functions and powers of the three AML/CFT supervisors. These functions and powers of the supervisors are exercised in accordance with a core set of guiding principles to help achieve consistency and integrity in our supervisory approach.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  12. 18 November 2020

    Audit quality - a director’s guide

    Audit quality – a director’s guide offers guidance for directors and shareholders of New Zealand FMC reporting entities about how to improve audit quality.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  13. 1 November 2018

    Determining whether you are acquiring a business or assets guidance

    Determining whether you are acquiring a business or assets guidance sets out our view of what constitutes a ‘business’ for these purposes, as opposed to an asset. It also sets out additional information issuers should consider disclosing for asset acquisitions.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  14. 25 September 2023

    '5 mins with the FMA' podcast #8: KiwiSaver Annual Report - 2023

    In this 5 mins with the FMA episode, we look at the latest KiwiSaver Annual Report, with John Horner, Director of Markets, Investors and Reporting at the FMA.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Podcast

  15. 4 October 2023

    Guidance for keeping proper climate-related disclosure records

    This guidance note is intended to help climate reporting entities (CREs) meet their statutory requirement to keep proper climate-related disclosure records at all times.
    Tags
    Climate related disclosure, Climate Reporting Entities, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Guidance