Back

Search results

Found 2955 results. Displaying page 8 of 197

  1. 24 June 2024

    KiwiSaver 2024: Check in with your nest egg

    Check in with your nest egg is the FMA's 2024 KiwiSaver campaign. We are calling on all KiwiSavers to do a health check on their KiwiSaver to make sure it's working for you.
    Tags
    Campaigns, Investing, Consumer
    Type
    Page

  2. 1 June 2013

    Securities trustees and statutory supervisors monitoring guidance

    This guidance note is for licensed securities trustees and statutory supervisors. It sets out the Financial Market Authority’s (FMA) expectations of how they will carry out their monitoring functions effectively.
    Tags
    Reporting entities, Roles, Business, Supervisor
    Type
    PDF, Guidance

  3. 9 August 2019

    Guidance on Expired Passports as Identification for Customer Due Diligence

    The AML/CFT supervisors have become aware of the need for clear guidance on the use of expired passports as part of Customer Due Diligence procedures and how it relates to the
    Amended Identity Verification Code of Practice 2013 (‘the code’).
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Guidance

  4. 1 June 2012

    Licence Application Guide - overseas Auditors and Audit Firm registrations

    This guide is for overseas auditors and overseas audit firms. It explains how: an overseas audit firm can apply for authorisation of its registration; overseas auditors can apply for licences (which are not transitional licences and are referred to in this guide as ‘standard’ licences).
    Tags
    Auditors, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  5. 28 September 2023

    Catalist market operator obligations review 2023

    Findings from the FMA’s review of how well Catalist is meeting its licensed market operator obligations, for the period 1 April 2022 to 31 March 2023.
    Tags
    Roles, Reports and Papers, Business, Market operator, News & Insights
    Type
    PDF

  6. 27 February 2024

    Monitoring of licensed Financial Advice Providers information sheet

    The Monitoring of licensed Financial Advice Provider (FAP) information sheet explains how we carry out monitoring activities, what we expect of you, and what you can expect from us.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    PDF, Information Sheet

  8. 9 November 2022

    Monitoring of licensed Financial Advice Providers (FAPs)

    The Monitoring of licensed Financial Advice Providers information sheet explains how we carry out monitoring activities, what we expect of you, and what you can expect from us.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance

  9. 1 June 2013

    Securities trustees and statutory supervisors monitoring

    Securities trustees and statutory supervisors monitoring guidance note is for licensed securities trustees and statutory supervisors. It sets out the Financial Market Authority’s (FMA) expectations of how they will carry out their monitoring functions effectively.
    Tags
    Independent trustee, Roles, Supervisors, Business
    Type
    Page, Guidance

  10. 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

  11. 22 December 2023

    CBL Corporation and four independent directors ordered to pay penalties for conduct including reckless and careless breaches of the Financial Markets Conduct Act

    The High Court has ordered CBL Corporation Limited (CBLC) and four of its former directors to pay penalties for continuous disclosure and misleading conduct breaches following proceedings brought by the FMA under the Financial Markets Conduct Act 2013.
    Tags
    Media release, Enforceable undertaking, Powers, Financial Institutions, Business, News & Insights, Enforcement
    Type
    Page

  12. 7 March 2024

    FMA files proceedings against Tower Limited for alleged fair dealing breaches

    FMA has filed civil proceedings against Tower Limited (Tower) for failing to apply multi policy discounts to eligible customers’ premiums, resulting in approximately $9.5 million* in overcharges.
    Tags
    Media release, Financial Advice Provider, Financial Institutions, Roles, Business, News & Insights, Enforcement
    Type
    Page

  13. 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

  14. 24 May 2021

    What to expect from your financial adviser

    When you deal with a licensed financial advice provider NZ law entitles you to minimum standards of service. Most financial advice providers must be licensed by the Financial Markets Authority. Learn more about what to expect from your financial adviser
    Tags
    Consumer
    Type
    Page

  15. 31 August 2021

    Delta blues: latest lockdown shows need for customer vulnerability preparedness

    FMA Senior Advisor for Investor Capability talks about customer vulnerability in the face of COVID-19.
    Tags
    COVID-19, Authorised body under a FAP, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Financial Adviser, Roles, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Nominated representatives
    Type
    Page