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  2. 15 March 2023

    How to apply for a FAP licence

    This page provides a step by step process for how you apply for a FAP licence.
    Tags
    Financial Advice Provider, Licensing & registration, Roles, Business
    Type
    Page

  5. 16 March 2023

    How the FAP licence classes compare

    Before you apply for a Financial Advice Provider (FAP) licence, you’ll need to decide whether you want to be considered for a Class 1, Class 2, or Class 3 licence. Use this table as a general guide to help you determine the class of FAP licence that is best suited to you and your plans for your business.
    Tags
    Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  6. 16 August 2021

    How a family chat might have saved one man from losing $50,000 to an investment scam

    When a band of international scammers launches a sophisticated, multi-person project to fleece you out of your money, your best protection might be closer to home than you think.

    Bill* is in his early 70s, lives in a small provincial town and works in the health sector. He fell victim to an international share trading fraud which all began with an unsolicited phone call from a man in New York, ringing as part of a survey associated with Wall St Journal.
    Tags
    Consumer, Scams
    Type
    Page

  7. 20 October 2022

    How to cancel your FMC Act licence

    How to cancel an FMCA Licence.
    Tags
    Crowdfunding providers, Derivative Issuer, Financial Advice Provider, Independent trustee, Licensing & registration, Roles, Business, Peer-to-peer lending service providers
    Type
    PDF

  8. 6 September 2023

    KiwiSaver

    KiwiSaver is a voluntary work-based savings scheme set up by the Government to encourage New Zealanders to prepare for retirement.This page helps you understand KiwiSaver so that you can make informed investment decisions.
    Tags
    KiwiSaver & Superannuation, Consumer
    Type
    Page

  9. 21 July 2022

    Regulatory approach

    We expect all market participants to pursue the objectives and spirit of regulation rather than the letter of the law. We supervise and monitor market participants in line with our statutory objectives. We supervise and monitor market participants in line with our statutory objectives. Where we see misconduct in financial markets, we seek to hold those responsible to account. These pages provide you more information on our regulatory and enforcement approach.
    Tags
    Regulation, Regulatory cooperation, Business, FMA
    Type
    Page

  10. 1 July 2016

    AML CFT How to complete your annual CFT user guide 1

    This user guide is designed to help financial advisers to complete their annual AML/CFT report (annual
    report) quickly and easily. It clarifies the questions in the report template that may be open to interpretation and identifies questions that are unlikely to be relevant to small financial adviser businesses. It does not include the questions that don’t need explanation. This guide is current for 2016.
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Resource

  13. 2 August 2023

    Exemptions

    The FMA has wide powers to provide exemptions to persons or transactions from some financial markets law requirements. These powers enable us to remove rigidities in the law and ensure requirements for businesses are reasonable and cost-effective. Read more about exemptions; exemption categories; how to apply for an exemption including digital advice exemptions on this page.
    Tags
    Exemptions, Business
    Type
    Page

  14. 2 July 2016

    How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses

    How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses has been prepared for authorised financial advisers and small financial adviser businesses that come under Regulation 16 of the Anti-Money Laundering and Countering Financing of Terrorism (Definitions) Regulations 2011 (regulations).
    Tags
    AML/CFT, Roles, Financial Advice Provider, Financial Adviser, Business
    Type
    Page, Guidance

  15. 21 May 2024

    Official Information Act (OIA) requests

    The Official Information Act 1982 (OIA) gives New Zealanders the right to request official information. We are committed to carrying out our functions and responsibilities in an open, transparent and accountable manner. We will publish OIA statistics and some responses to requests for information every quarter.
    Tags
    Type
    Page, OIA