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  1. 24 July 2020

    Derivatives Issuer Sector Risk Assessment

    This sector risk assessment summarises the key risks posed by licensed Derivatives Issuers (DIs) to the FMA’s objective of promoting fair, efficient and transparent financial markets. It is based on a self-assessment completed by DIs, as well as our interactions with DIs and their clients since FMC Act licensing began. This information will be useful to help licensed DIs understand our focus areas and ensure they comply with our expectations and best practice.
    Tags
    Reports and Papers, Derivative Issuer, Roles, Business, News & Insights
    Type
    Page

  2. 30 June 2023

    Media releases

    The FMA issues media releases on a regular basis to keep the market informed of latest news. See a full list of media releases on this page.
    Tags
    Media release, News & Insights
    Type
    Page

  3. 10 July 2023

    Consultation paper Climate related disclosures timing mismatch

    The FMA is consulting on a proposed exemption to exempt certain climate reporting entities from the requirement to include a link to their climate statements in their annual report for a 2-year period. Submissions close 7 August 2023.
    Tags
    Consultations, Climate related disclosure, Roles, Ethical finance, Financial Institutions, Managed Investment Schemes, Climate Reporting Entities, Business, Managed investment schemes
    Type
    PDF

  4. 20 April 2023

    Authorised Bodies Climate Reporting Entities Flow Chart

    This flowchart can be used to determine if an authorised body is a climate reporting entity.
    Tags
    Authorised body under a FAP, Climate related disclosure, Roles, Climate Reporting Entities, Business
    Type
    PDF

  5. 16 August 2022

    Banks, building societies and credit unions Climate Reporting Entities Flow Chart

    This flow chart, for Banks, building societies and credit unions, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.
    Tags
    Banking, Climate related disclosure, Offer disclosure for equity and debt offers, Insurance Providers, Roles, Financial Institutions, Climate Reporting Entities, Business
    Type
    PDF, Guidance

  6. 16 August 2022

    Listed Issuer Climate Reporting Entities Flow Chart

    This flow chart, for Listed Issuers, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.
    Tags
    Derivative Issuer, Climate related disclosure, Roles, Offer disclosure for equity and debt offers, Insurance Providers, Climate Reporting Entities, Business
    Type
    PDF, Guidance

  7. 16 August 2022

    Managed Investment Scheme (MIS) Manager Climate Reporting Entities Flow Chart

    This flow chart, for Managed Investment Scheme (MIS) Managers, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.
    Tags
    KiwiSaver providers, Climate related disclosure, Roles, Climate Reporting Entities, Business, Managed investment schemes
    Type
    PDF, Guidance

  8. 8 March 2022

    Financial Markets Conduct (JP Morgan Chase Bank N.A.) Exemption Notice 2022

    The Financial Markets Conduct (JP Morgan Chase Bank N.A) Exemption Notice 2022 exempts exempt persons (being JP Morgan Chase Bank N.A (JPM) and any related body corporate of JPM) from the substantial product holder disclosure obligations contained in sections 276 to 279 of the Financial Markets Conduct Act 2013
    Tags
    Exemptions, Business
    Type
    Page

  9. 23 August 2018

    Greenfields Capital

    Greenfields Capital is not incorporated in New Zealand and is not registered on the Financial Service Providers Register
    Tags
    Investor warning, Consumer, Scams
    Type
    Page

  12. 21 July 2022

    Corporate publications

    The FMA releases a number of Corporate Publications each year. Find the latest Annual Report, Annual Corporate Plan, Statement of Performance Expectations, FMA Outlook and Statement of Intent on this page.
    Tags
    FMA Outlook, FMA
    Type
    Page, Corporate publications, Annual report, Statement of intent, Annual corporate plan, Statement of Performance Expectations

  14. 21 September 2021

    Berkeley Finance

    WARNING: The FMA are concerned that this website is involved in a scam. There are false claims made on this website that they are connected with a company incorporated in New Zealand – Berkeley & Berkeley Limited (NZBN: 9429039209443).
    Tags
    Imposter website, Suspected scam, Consumer, Scams
    Type
    Page