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  1. 15 May 2018

    FMA releases fourth AFA information report

    FMA published statistical report on Authorised Financial Advisers (AFAs) in New Zealand for 2017. The FMA requires AFAs to submit an annual information return each year.
    Tags
    Financial Advice Provider, Media release, Roles, Business, News & Insights
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  4. 15 May 2017

    Consultation paper: Class designation of shares to managed investment products in an MIS

    Consultation paper: Class designation of shares to managed investment products in an MIS. This consultation paper considers when shares in investment companies may be designated as managed investment products (MIPs). Being MIPs subject these investment companies to the licensing, disclosure and governance requirements of managed investment schemes.
    Tags
    Investing, Consultations, Roles, Business, Consumer, Managed investment schemes
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  5. 26 June 2023

    Consultation: Proposed CoFI guidance note on intermediated distribution

    Following consultation published CoFI guidance note intermediated distribution, the summary of key themes, and the submissions report.
    Tags
    Banking, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Roles, Consultations, Financial Institutions, Business
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    Page

  10. 6 March 2024

    Trent and Castle – Cold calling, unregistered

    We have received a report of Trent and Castle representatives cold calling New Zealand residents and offering stock broking and managed investments plans.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
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  11. 15 November 2023

    Consultation: Proposed fair outcomes for consumers and markets

    Have your say on the proposed fair outcomes and approach that will form the basis of how the FMA engages with financial service providers. Submissions are now closed.
    Tags
    Consultations, Authorised body under a FAP, Client money or property services provider, Cryptocurrencies, Directors, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Crowdfunding Service Provider, Offers of financial products, Derivative Issuer, Independent Trustee, Peer to peer lending provider, Roles, Compliance, Business, Interposed persons under new financial advice regime, Managed investment schemes, Supervisor
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  12. 31 May 2024

    FMA cancels Stockfox Limited’s FAP licence

    The FMA has cancelled Stockfox Limited’s (Stockfox) Financial Advice Provider (FAP) licence with effect from 30 May 2024.
    Tags
    Media release, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Enforceable undertaking, Licence cancellation, Roles, Powers, Business, News & Insights, Enforcement, Nominated representatives
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  15. 31 March 2011

    D-day for Financial Advisers

    From 1 April, all financial advisers, or the companies they work for, have to be registered on the online Financial Service Providers Register, www.fspr.govt.nz. Advisers who should be on the register, but aren't risk hefty penalties.
    Tags
    Media release, News & Insights
    Type
    Page