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  1. 15 March 2021

    Crypto asset service providers

    This page provides information about your obligations if you provide a ‘financial service’ related to crypto assets in New Zealand. Read more about types of financial products, initial coin offers, registration, AML/CFT obligations and fair dealing requirements
    Tags
    Cryptocurrencies, Compliance, Roles, Fair dealing, Obligations, Offer information, Licensing & registration, Business
    Type
    Page

  2. 24 May 2017

    Licensing overview report

    What we found and what you need to know to meet your licence obligations.with the FMA.
    Tags
    Reports and Papers, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Licensing & registration, Roles, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
    Type
    Page, Report

  3. 5 April 2024

    Authorised body under a financial advice provider licence

    An authorised body is an entity (eg company or partnership) named on a Financial Advice Provider licence. A licensed FAP must agree to an authorised body operating under its licence. The authorised body must be named on the financial advice provider’s transitional licence application, and the licensed FAP will be required to provide information about the authorised body when it applies for its licence.
    Individuals cannot be authorised bodies under a FAP licence and individual financial advice provider licence holders cannot engage authorised bodies under their licences.
    Find out more about registration, costs, ongoing obligations, duties, standard consitions, general reporting conditions, code of professional conduct, competency safe harbour, and liability and enforcement on this page.
    Tags
    Compliance, New Financial Advice regime, Authorised body under a FAP, Obligations, Licensing & registration, Roles, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    Page

  4. 8 April 2024

    Online Services

    Online Services is a secure portal hosted by the FMA for submitting licence applications and, regulatory and scheme information.
    Tags
    Licensing & registration, Regulatory returns, Business
    Type
    Page

  5. 11 April 2024

    Financial adviser

    To use the term Financial Adviser from the start of the new financial advice regime, you must be registered on the Financial Service Providers Register (FSPR) and engaged by a licensed financial advice provider (FAP) (or authorised body).　
    Find out more about licensing, your ongoing obligations and duties and complying with the new Code of Professional Conduct; liabilities and enforcement and frequently asked questions on this page.
    Tags
    New Financial Advice regime, Compliance, Financial Adviser, FSPR, Obligations, Licensing & registration, Roles, Business
    Type
    Page

  6. 31 July 2015

    FMA files civil proceedings against portfolio manager for alleged market manipulation

    The Financial Markets Authority (FMA) has issued civil proceedings in the High Court seeking pecuniary penalties against Mr Mark Warminger for trading carried out while employed by Milford Asset Management Limited (Milford). The trading occurred between December 2013 and August 2014.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  7. 9 September 2019

    Opportunity for all Kiwis in Capital Markets 2029 report

    NZX and the Financial Markets Authority (FMA) today welcomed the release of the Capital Markets 2029 report, saying the 10-year vision and growth agenda would create more opportunities for Kiwis to grow personal wealth, help New Zealand businesses to prosper, and help future-proof the country’s economy.
    Tags
    Roles, Media release, Business, News & Insights, Market operator
    Type
    Page

  8. 6 June 2019

    Morgan DeVere fined $40,000 in first FMA case of company abuse of the FSPR

    Morgan DeVere Corporate Finance Limited (Morgan DeVere) has been fined $40,000 following its conviction at the Wellington District Court on two charges of breaching the Financial Services Providers (Registration and Dispute Resolution) Act 2008 (FSP Act). Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  9. 21 June 2019

    FMA's fifth statistical report on AFAs in NZ

    The Financial Markets Authority’s annual snapshot of Authorised Financial Advisers shows 140 advisers became AFAs in the year to the end of June 2018. That’s the highest number of new AFAs in the three years the FMA has broken down advisers being authorised and those whose authorisation lapses.
    Tags
    Media release, Financial Adviser, Roles, Business, News & Insights
    Type
    Page

  10. 16 April 2019

    Director sentenced to community service for abuse of FSPR

    A New Zealand-based director of Morgan DeVere Corporate Finance Limited has been sentenced to 75 hours of community service for breaching the Financial Service Providers (Registration and Dispute Resolution) Act 2008. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  11. 3 May 2019

    Company convicted for abuse of the FSPR

    Morgan DeVere Corporate Finance Limited (Morgan DeVere) has been convicted at the Wellington District Court on two counts of breaching the Financial Services Providers Act 2008 (FSP Act) for falsely claiming it was registered on the Financial Services Providers Register (FSPR). A copy of the judgment can be found here. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  12. 20 February 2018

    Conduct Outcomes Report

    This report outlines how we responded to the areas of misconduct we saw during 2017. It also gives an overview of our supervision activity for the parts of the financial services industry we regulate.
    Tags
    AML/CFT, Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Independent trustee, Roles, Reports and Papers, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Report

  13. 7 December 2021

    AML/CFT - Sector Risk Assessment

    Our AML/CFT SRA 2021 is an important document that provides general information and specific examples to assist reporting entities (REs) in the ten sectors we supervise for anti-money laundering and countering the financing of terrorism (AML/CFT). It will assist REs to prepare and review their individual assessments of the risks of AML/CFT under sections 58 and 59 of the AML/CFT Act.
    Tags
    AML/CFT, Roles, Reporting entities, Reports and Papers, Business
    Type
    Page, Report

  14. 15 December 2022

    ASX 24 review report

    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.
    Tags
    Roles, Reports and Papers, Business, Market operator, News & Insights
    Type
    Page, Report

  15. 30 September 2021

    AML/CFT Monitoring Report

    AML/CFT Monitoring Report summarises the FMA's monitoring activities to help firms and individuals better understand our expectations.
    Tags
    AML/CFT, Compliance, Directors, Roles, Monitoring, Reporting entities, Reports and Papers, Business, News & Insights
    Type
    Page, Report