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  1. 21 December 2020

    FMA releases CPA Australia and NZICA accredited body reports

    The Financial Markets Authority (FMA) has published its annual accredited body reports for CPA Australia and the New Zealand Institute of Chartered Accountants (NZICA).
    Tags
    Auditors, Roles, Media release, Accredited bodies, Business, News & Insights
    Type
    Page

  2. 1 September 2011

    Identity verification - Code of Practice

    Customers of financial institutions and casinos can expect more stringent identity checks in the lead up to 30 June 2013 when anti-money laundering legislation comes fully into force. Businesses now have access to guidance on the standard those identity checks should meet.
    Tags
    Media release, News & Insights
    Type
    Page

  3. 15 March 2021

    Audit quality – A director’s guide

    Audit quality – A director’s guide is aimed at directors of FMC reporting entities. It sets out how you, as a director can contribute to the audit quality of your audit, as well as what you can expect from the FMA and your auditor.
    Tags
    Directors, FMC Act, Roles, Legislation, Business
    Type
    Page

  4. 9 June 2023

    BNP Paribas – Fake bonds offer

    We are concerned that a scam is targeting New Zealanders and offering investments in “Treasury” and “clean energy” bonds in the name of BNP Paribas bank. BNP Paribas has confirmed that it is not connected with these offers. A similar warning about fake BNP Paribas bonds was issued by the FMA in September 2022, but investment scams using the bank’s name have continued.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  5. 21 July 2023

    BT Funds Management – Fake term deposits

    We are concerned that a scam offering investments in fixed term deposits under the name of BT Funds Management is targeting New Zealanders.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  6. 9 August 2023

    Mackersy Property DBG

    Mackersy Property DBG (Designated Business Group): Mackersy Property includes Mackersy Property Limited (FSP1001600) Mackersy Capital Management Limited (FSP1005363) and Mackersy Capital Trustee Limited (FSP1005622)
    Tags
    Reporting entities, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  7. 11 August 2023

    Rapid Trade Return – Imposter website

    Rapid Trade Return websites are offering investments and are not registered to provide financial services in New Zealand.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  8. 11 August 2023

    Waivers

    Explore a comprehensive list of the FMC Act waivers offering by FMA. Get insights on financial markets authority and FMC waivers.
    Tags
    Waivers, Business
    Type
    Page

  9. 30 June 2023

    Offers under the FMC Act

    Anyone offering financial products for issue or sale needs to comply with financial markets legislation. The Financial Markets Conduct Act 2013 (FMC Act) defines these people as issuers. See more on how they are defined and other disclosure requirements.
    Tags
    Type
    Page

  10. 1 October 2018

    KiwiSaver Report 2018

    The report details the principal matters transacted under the Act during the year ended 30 June 2018, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF

  11. 8 December 2023

    Accredited Body Report - CPA Australia

    CPA Australia Accredited Body Report contains the findings of our monitoring assessment of CPA Australia. Read more.
    Tags
    Auditors, Roles, Reports and Papers, Business, Accredited bodies, News & Insights
    Type
    Page, Report

  13. 10 November 2014

    Gentrack IPO Report

    This report describes our conclusions following a review of matters arising out of Gentrack’s initial public offering (IPO) of shares and its disclosure at the time of the IPO.
    Tags
    Offer information, Roles, Reports and Papers, Business, Market operator
    Type
    Page, Report

  14. 1 June 2012

    KiwiSaver sale and distribution guidance

    This guidance note provides guidance on the FMAs expectations for the sale of KiwiSaver schemes within the requirements and spirit of the Financial Advisers Act 2008 (the Act). This guidance focuses on factors FMA will take into account when considering whether advice is given, and if so, whether the advice is categorised as a class or personalised service.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  15. 1 September 2014

    Governance under Part 4 of the FMC Act guidance

    This guidance note is for Issuers of debt securities, managers of investment schemes and their supervisors. It gives guidance on the expectations of the FMA on your approach to governance and accountability responsibilities that apply to Part 4 of the FMC Act 2015.
    Tags
    Governance, Offer disclosure for equity and debt offers, Roles, Business, FMA, Managed investment schemes, Supervisor
    Type
    PDF, Guidance