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Found 5975 results. Displaying page 30 of 399

  1. 2 June 2016

    Eligibility criteria - Crowdfunding services for property investments

    This information sheet is designed to help crowdfunding services offering property investment (‘property crowdfunding’) meet the eligibility criteria for a licensed crowdfunding
    service in New Zealand.
    Tags
    Crowdfunding providers, Roles, Licence guide, Licensing & registration, Business
    Type
    PDF, Information Sheet

  2. 15 August 2016

    Legislative notices supporting the FMC Act regime

    To support businesses implementing the Financial Markets Conduct Act 2013 (FMC Act), the FMA has been working, in consultation with the sector, on various legislative tools such as exemptions, frameworks, methodologies, public accountability notices, and designations (the FMA’s legislative tools).
    We have also been working with the Ministry of Business, Innovation, and Employment (MBIE) on the
    amendments to the Financial Markets Conduct Regulations 2014 (FMC Regulations). These tools and
    regulatory amendments are designed to help businesses and individuals comply with the requirements
    of the FMC Act regime.
    Tags
    Crowdfunding providers, Derivative Issuer, FMC Act, Roles, Legislation, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    PDF, Notice

  3. 19 May 2016

    FMA legislative notices supporting the FMC Act

    To support businesses implementing the Financial Markets Conduct Act 2013 (FMC Act), the FMA has been working, in consultation with the sector, on various legislative tools such as exemptions, frameworks, methodologies, public accountability notices, and designations to help businesses and individuals comply with the Act.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  5. 12 March 2018

    FMA’s media release on 12 March 2018 - OIA response

    OIA response to FMA’s media release on 12 March 2018 regarding the five businesses being warned for Anti-Money Laundering/Countering Financing of Terrorism (AML/CFT) failures. Response dated 5 April 2018.
    Tags
    FMA
    Type
    PDF, OIA

  7. 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

  8. 1 April 2019

    AML/CFT 2018 Annual Monitoring Report

    This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and its supporting regulations.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  9. 1 April 2019

    AML/CFT Monitoring Report

    The AML/CFT Monitoring Report summarises our monitoring activities to help firms and individuals better understand our expectations and how they can improve their systems and processes, to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act).
    Tags
    AML/CFT, Directors, Roles, Business
    Type
    Page, Guidance

  10. 11 July 2019

    Cyber-resilience in FMA-regulated financial services guidance

    Cyber-resilience in FMA-regulated financial services report summarises the findings of our thematic review of cyber-resilience in New Zealand financial services and provides guidance for firms in areas where we have identified the need for improvement. It will be useful for our regulated sectors, to help ensure they comply with our expectations and best practice.
    Tags
    Derivative Issuer, Crowdfunding Service Provider, Financial Adviser, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Cryptocurrencies, Client money or property services provider, Authorised body under a FAP, Roles, Directors, Crowdfunding providers, Business, Interposed persons under new financial advice regime, FMA, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Page, Guidance

  11. 2 August 2016

    Crowdfunding services for property investments – meeting the eligibility criteria

    Crowdfunding services for property investments – meeting the eligibility criteria, information sheet is designed to help crowdfunding services offering property investment (‘property crowdfunding’) meet the eligibility criteria for a licensed crowdfunding service in New Zealand.
    Tags
    Crowdfunding providers, Roles, Business
    Type
    Page, Guidance

  12. 10 December 2020

    Providing overseas firms’ research reports to retail clients

    Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 (FMC Act) from 15 March 2021.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance

  13. 24 May 2017

    Licensing overview report 2017

    This report aims to Outline how we applied a flexible approach to applications and explain how the minimum standards and FMC Act eligibility criteria fit together, plus more.
    Tags
    Licensing & registration, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  14. 13 March 2018

    Self-select retirement schemes – information for scheme managers

    Self-select retirement schemes information sheet explains how these schemes are regulated under the Financial Markets Conduct Act 2013 (FMC Act) and what exemptions and waivers may be available.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance, Information Sheet