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  1. 5 April 2024

    Authorised body under a financial advice provider licence

    An authorised body is an entity (eg company or partnership) named on a Financial Advice Provider licence. A licensed FAP must agree to an authorised body operating under its licence. The authorised body must be named on the financial advice provider’s transitional licence application, and the licensed FAP will be required to provide information about the authorised body when it applies for its licence.
    Individuals cannot be authorised bodies under a FAP licence and individual financial advice provider licence holders cannot engage authorised bodies under their licences.
    Find out more about registration, costs, ongoing obligations, duties, standard consitions, general reporting conditions, code of professional conduct, competency safe harbour, and liability and enforcement on this page.
    Tags
    Compliance, New Financial Advice regime, Authorised body under a FAP, Obligations, Licensing & registration, Roles, Financial Services Legislation Amendment Act (FSLAA), Business
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  2. 16 January 2024

    Insurance

    When you buy insurance products, you have certain rights and your provider has obligations to make sure you're treated fairly and those products suit your needs. The FMA monitors both insurers and the financial advisers selling insurance products to ensure they are delivering those outcomes.

    Tags
    Insurance, Life insurance, General and other insurance, Consumer
    Type
    Page

  3. 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.
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    Type
    Page

  4. 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

  5. 20 May 2022

    Fair dealing

    Underpinning the breadth of the FMC Act are the fair dealing provisions, which set out the core standards of behaviour that those operating in the financial markets must comply with. This webpage provides an overview of why the fair dealing and stop order provisions are important, who must comply with these requirements, the principles the FMA applies when assessing compliance, our enforcement approach and how you can report possible breaches.
    Tags
    Fair dealing, Business
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  6. 24 May 2017

    Licensing overview report 2017

    The licensing overview report 2017 aims to outline how the FMA applied a flexible approach to applications; explains how the minimum standards and FMC Act eligibility criteria fit together; shows the linkage between good conduct and minimum standards, signals our fugure focus and clarified ongoing legal obligations.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Licensing & registration, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    PDF, Report

  8. 13 October 2021

    FMA issues guidance on advertising of financial products

    The Financial Markets Authority (FMA) issues guidance on how firms should be advertising financial products. Read the media release.
    Tags
    Directors, Roles, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Media release, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Nominated representatives
    Type
    Page, Guidance

  9. 28 June 2022

    NZX Obligations Review 2022

    Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2021.
    Tags
    Offer disclosure for equity and debt offers, Market operator, Roles, Business
    Type
    PDF

  10. 16 June 2021

    KiwiSaver switching behaviour 150621

    The aim of this research was to identify how any switches and other transactions took place between Febuary and April 2020 at the height of the market volatility associated with COVID-19
    Tags
    Reports and Papers, KiwiSaver providers, Supervisor, Managed investment schemes, Roles, COVID-19, Business, News & Insights
    Type
    PDF

  11. 27 June 2023

    NZX Obligations Review 2023

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

  12. 25 June 2024

    NZX Obligations Review 2024

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

  13. 25 May 2023

    Sustainable? Ethical? The substance must back up the claims

    Paul Gregory, Executive Director Response and Enforcement, FMA talks about greenwashing and how misleading or false claims about social or environmental benefits go to the heart of fair dealing, and how the overall impression provided by marketing materials is critical.
    Tags
    Roles, Business, News & Insights, Supervisor
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    Page

  14. 6 October 2021

    Adviser profile – Christine Hay on her FAP licensing journey

    Christine Hay, sole adviser for and Managing Director of Hawke’s Bay financial advice provider, Financial Sense Limited talkks to the FMA about becoming a fully licensed financial advice provider.
    Tags
    Licensing & registration, Roles, Financial Advice Provider, Article, Business, News & Insights
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    Page

  15. 26 September 2019

    FMA seeking feedback on responsible investment products

    The Financial Markets Authority is seeking views on how green bonds and other responsible investment products should be described, labelled and promoted to investors.
    Tags
    Bonds, Ways to invest, Investing, Media release, Consumer, News & Insights
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    Page