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  1. 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
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  2. 22 December 2010

    New Conditions for Qualifying Financial Entities

    The Securities Commission has published the standard conditions Qualifying Financial Entities (QFEs) will need to abide by when their employees and representatives give financial advice.
    Tags
    Media release, News & Insights
    Type
    Page

  4. 17 December 2018

    Explaining fees and products key for consumers

    We have released survey into consumers’ experience of providers’ conduct. The survey found that New Zealanders are relatively satisfied with their financial providers, with consumers feeling they are treated fairly (70%), and with respect (72%).
    Tags
    Media release, Consumer, News & Insights
    Type
    Page

  5. 25 October 2018

    FMA publishes annual report 2018

    FMA annual report for the financial year ending June 30 2018. The report highlights a number of key activities that took place in the year, including the launch of the joint FMA/RBNZ Culture and Conduct review of banks and life insurers.
    Tags
    Governance, Media release, FMA, News & Insights
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  6. 17 June 2020

    FMA opens consultation on standard conditions for full licensing for financial advice

    The Financial Markets Authority (FMA) has opened consultation on the proposed full licence standard conditions for Financial Advice Providers, as part of the new financial advice regime.
    Tags
    New Financial Advice regime, Media release, Consultations, Financial Services Legislation Amendment Act (FSLAA), Business, News & Insights
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  7. 15 March 2022

    Opinion

    Opinion pieces from the FMA are published on this page.
    Tags
    Insights, News & Insights
    Type
    Page

  8. 24 September 2020

    Supervision Insights report

    An overview of the FMA’s supervision activities and findings from our monitoring reviews of regulated entities.
    Tags
    Reports and Papers, Roles, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Financial Advice Provider, Business, Interposed persons under new financial advice regime, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
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    Page

  9. 15 March 2021

    Problems with your financial adviser

    All licensed financial advice providers must be part of an approved Dispute Resolution Scheme. This means they’re required to send complaints to an agreed third party to sort out if your complaint cannot be resolved directly with you.
    Tags
    Financial advice, Get advice, Investing, Consumer
    Type
    Page

  10. 15 March 2021

    Guide to switching your KiwiSaver provider

    FMA guide to switching your KiwiSaver provider.
    Tags
    Managed funds, KiwiSaver & Superannuation, Ways to invest, Investing, Article, Consumer, News & Insights
    Type
    Page

  11. 23 August 2022

    Banks and insurers have work cut out with CoFI

    Clare Bolingford outlines what banks, insurers and non-bank deposit takers need to do to prepare for the CoFI regime.
    Tags
    Banking, Insurance Providers, Opinion, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Business, News & Insights
    Type
    Page

  12. 5 September 2023

    RBNZ and FMA Governance Thematic Review outlines good practices and areas for improvement

    A cross-sector thematic review of regulated entities’ governance practices by the Reserve Bank of New Zealand (RBNZ) and the Financial Markets Authority (FMA) has highlighted the need for boards to be focused on continuous improvement to ensure future success.
    Tags
    Media release, Directors, Insurance Providers, Roles, Conduct, Conduct of Financial Institutions Bill (CoFI), Business, News & Insights
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  13. 11 May 2018

    Managed Forex Hub Limited

    We have issued a formal warning to Andrew James Sturge, the sole director and shareholder of Managed Forex Hub Limited under s 9 of the Financial Markets Authority Act 2011.
    Tags
    Scams
    Type
    Page

  14. 29 August 2013

    Phoenix Forex Limited

    We believe that Phoenix Forex’s claims about the level of returns made by the Oak FX foreign exchange trading system are untrue, and that Phoenix Forex is misrepresenting the profitability of, and risks associated with, its trading system.
    Tags
    Suspected scam, Scams
    Type
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