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  1. 15 May 2017

    Consultation paper: Class designation of shares to managed investment products in an MIS

    Consultation paper: Class designation of shares to managed investment products in an MIS. This consultation paper considers when shares in investment companies may be designated as managed investment products (MIPs). Being MIPs subject these investment companies to the licensing, disclosure and governance requirements of managed investment schemes.
    Tags
    Investing, Consultations, Roles, Business, Consumer, Managed investment schemes
    Type
    Page

  2. 27 October 2022

    Speeches

    The FMA speeches at major events and to stakeholders are published on this page.
    Tags
    Speeches and presentations , News & Insights
    Type
    Page

  3. 31 May 2023

    Entity demands tax payment that does not exist

    We are aware that Ariseinvslimited.com requires its clients to pay a type of investment tax which does not exist in New Zealand.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  4. 15 March 2021

    Start to new licensing regime for financial advice

    The Financial markets Authority (FMA) welcomes the start of the new financial advice regime from 15 March 2021. Under the new regime, anyone who gives regulated financial advice to retail clients must either hold, or operate under, a Financial Advice Provider licence. All providers of financial advice are now subject to the same obligation to place the interests of their clients first and must adhere to a new Code of Conduct.
    Tags
    Licensing & registration, Financial Services Legislation Amendment Act (FSLAA), Media release, Business
    Type
    Page

  5. 25 June 2020

    FMA welcomes start date of new financial advice regime and confirmation of disclosure requirements

    The Financial Markets Authority (FMA) is encouraging advisers to apply for their transitional licences by the end of the year, as the Government announces the start date to the new financial advice regime. Read the full media release here.
    Tags
    Financial advice, New Financial Advice regime, Media release, Financial Services Legislation Amendment Act (FSLAA), Financial Advice Provider, Roles, Business, Consumer, News & Insights
    Type
    Page

  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
    Type
    Page

  7. 30 November 2022

    Consultation: Proposed standard conditions for financial institution licences

    Consultation on the FMA’s proposed standard conditions for financial institution licences, as part of the Financial Markets (Conduct of Institutions) Amendment Act 2022 (CoFI Act). and post consultation documents.
    Tags
    Banking, Consultations, Insurance Providers, Financial Institutions, Standard conditions, Conduct of Financial Institutions Bill (CoFI), Licensing & registration, Managed Investment Schemes, Roles, Business, Managed investment schemes
    Type
    Page

  9. 20 February 2023

    The FMA opens consultation on draft guidance for the intermediated distribution of financial products

    FMA is seeking consultation feedback on proposed guidance that covers arrangements where financial institutions distribute products and services through intermediaries.
    Tags
    Media release, Authorised body under a FAP, Banking, Consultations, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Roles, Managed Investment Schemes, Business, Managed investment schemes, News & Insights
    Type
    Page

  10. 20 July 2022

    FMA opens consultation on standard conditions for financial institution licences

    Consultation paper on proposed standard conditions for licences granted under the Financial Markets (Conduct of Institutions) Amendment Act 2022.
    Tags
    Banking, Consultations, Insurance Providers, Media release, Conduct of Financial Institutions Bill (CoFI), Managed Investment Schemes, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page

  11. 7 June 2023

    TryTrade – Unregistered business, cold calling

    TryTrade is not registered on New Zealand’s Financial Services Provider Register to provide any financial products or services to New Zealand residents.
    Tags
    Investor warning, Consumer
    Type
    Page

  13. 20 October 2022

    Key terms under the CoFI regime

    The Financial Markets (Conduct of Institutions) Amendment Act 2022 has introduced some key terms to describe the framework for regulating the conduct of financial institutions in New Zealand – also known as the CoFI regime. This page lists some of the key terms and their definitions.
    Tags
    Conduct of Financial Institutions Bill (CoFI), Banking, Conduct, Insurance Providers, Financial Institutions, Ways to invest, Investing, Managed Investment Schemes, Roles, Business, Consumer, Managed investment schemes
    Type
    Page

  14. 17 November 2015

    Consultation paper: Proposed variations to standard conditions of market services licences

    Consultation paper: Proposed variations to standard conditions of market services licences. This seeks to gather views on proposed variations to the standard conditions for Financial Markets Conduct Act 2013 (FMC Act) licences
    Tags
    Roles, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Consultations, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Financial reporting

  15. 1 May 2022

    CTRL Investments

    FMA censured CTRL Investments Limited for contravening the conditions of its derivatives issuer (DI) licence.
    Tags
    Censure, Powers, Enforcement
    Type
    Page