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  4. 16 June 2021

    Financial advice lender exclusion updated 2021

    This information sheet explains the circumstances that may exclude a lender from some Financial Markets Conduct Act 2013 (FMC Act) obligations related to financial advice. The exclusion applies only in relation to consumer credit contracts and certain credit-related insurance contracts. Updated documented published 16/06/21
    Tags
    Financial Adviser, Roles, Business
    Type
    PDF, Information Sheet

  5. 13 November 2013

    Consultation licensing independent trustees

    Consultation: Draft minimum standards and licence conditions for independent trustees of restricted schemes.
    Tags
    Independent trustee, Roles, Consultations, Business
    Type
    PDF

  9. 1 March 2015

    RBNZ designation and oversight of designated settlement system

    This document explains Part 5C of the Reserve Bank of New Zealand Act 1989 and the roles and policies of the Reserve Bank and the Financial Markets Authority in relation to the designation and oversight of designated settlement systems.
    Tags
    Market operator, Regulation, Roles, Business
    Type
    PDF

  10. 1 May 2020

    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. It will be useful for small and medium-sized FAPs to consider the examples provided when reviewing their internal arrangements for creating and maintaining records.
    Tags
    Financial Advice Provider, Financial Adviser, FMC Act, Roles, Legislation, Business
    Type
    PDF, Guidance, Information Sheet

  14. 14 November 2021

    Consumer IPO information and guide

    This investor guide tells you what you need to know before investing in a new share offer
    Tags
    Shares, Ways to invest, Investor information, Investing, Consumer
    Type
    PDF