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  1. 8 April 2024

    Discretionary Investment Management Service (DIMS)

    To provide discretionary investment management services (DIMS) under the FMC Act you must hold a DIMS market services licence issued under the FMA Act. Find out more about the licensing, fees associated with licensing, compliance obligations and exemptions available to this role in New Zealand.
    Tags
    Compliance, Discretionary investment management scheme (DIMS), Obligations, Licensing & registration, Roles, Business
    Type
    Page

  2. 4 February 2020

    KiwiSaver projections

    We can help you understand how your KiwiSaver savings projection might calculated. From April 2020, your personal annual KiwiSaver statement will show you what your KiwiSaver savings may be worth at age 65.
    Tags
    Investing, KiwiSaver & Superannuation, Consumer
    Type
    Page

  4. 28 May 2024

    Matthew Hill

    The FMA alleged that between February 2013 and July 2020, Mr Hill made dozens of posts on Sharetrader in a thread about New Talisman under two usernames, “bullish” and “Epithermal”. Mr Hill, who is also a director and shareholder of New Talisman, did not, at any point, disclose his involvement in the company, the FMA asserts in the claim. Mr Hill’s conduct was revealed in July 2020 when Sharetrader publicly identified him as the person behind the usernames.
    Tags
    Market manipulation, Cases, Enforcement
    Type
    Page

  5. 31 May 2024

    FAP regulatory returns

    All licensed FAPs are required to complete and submit an annual regulatory return. The regulatory return is a series of questions to obtain an up-to-date understanding of the nature, size and complexity of your financial advice provider service. This page provides you with information relevant to your annual regulatory return.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Roles, Business
    Type
    Page

  6. 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
    Type
    Page

  7. 6 June 2024

    Fisher Funds Group DBG

    Fisher Funds Group includes members: FISHER FUNDS WEALTH INVESTMENTS LIMITED PARTNERSHIP, Fisher Funds Wealth Limited, Fisher Funds Wealth Investment Management Limited and Portfolio Custodial Nominees Limited.
    Tags
    Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  8. 26 May 2022

    KiwiSaver 2022: Own your own tomorrow

    FMA’s annual KiwiSaver campaign is taking place from June this year to encourage more New Zealanders to engage with their KiwiSaver. This year’s theme is “Own your Tomorrow” which reminds people that their financial future is up to choice, not chance, and that KiwiSaver is a simple way to invest for the future.
    Tags
    Investing, KiwiSaver & Superannuation, Campaigns, Consumer
    Type
    Page

  10. 7 November 2023

    Consumer

    This section of our website provides useful information for consumers or investors on investment basics; getting financial advice, everyday finance such as banking and insurance and financing retirement with a superannuation fund or KiwiSaver.
    Tags
    Investing, Consumer
    Type
    Page

  11. 14 June 2024

    Financial Institutions

    A financial institution is a registered bank, licensed insurer, or licensed non-bank deposit taker (NBDT) that is in the business of providing one or more relevant services. View more about the licensing of Financial Institutions on this page.
    Tags
    Financial Institutions, Banking, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Managed Investment Schemes, Roles, Business, Managed investment schemes
    Type
    Page

  12. 29 November 2023

    Scams

    This section of the FMA website contains information about investment scams, how to protect yourself from scammers, how to report a scam, examples of real life scam stories and provides a list of current scam warnings.
    Tags
    Scams
    Type
    Page

  13. 14 June 2024

    Fair conduct programmes information for smaller firms

    This information sheet provides information and examples to help smaller Financial Institutions (FIs) establish, implement and maintain their fair conduct programme.
    Tags
    Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Business
    Type
    PDF

  14. 20 June 2024

    Auditor regulation and oversight plan

    This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. View the 2024-2027 report on this page as well as previous reports.
    Tags
    Roles, Auditors, Regulation, Reports and Papers, Directors, Business, Accredited bodies, News & Insights
    Type
    Page, Information Sheet

  15. 19 June 2024

    CRD What you need to know

    This guide has been produced by the FMA and the External Reporting Board (XRB). It is intended for anyone interested in understanding the basics of the CRD regime.
    Tags
    Climate related disclosure, Ethical investing, Business, Consumer
    Type
    PDF