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Found 2955 results. Displaying page 3 of 197

  1. 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

  2. 22 December 2016

    How the FMC Act will affect co-operative companies and industrial and provident societies that have issued, or intend to issue, co-operative shares

    How the FMC Act will affect co-operative companies and industrial and provident societies that have issued, or intend to issue, co-operative shares information sheet outlines the options for co-operative companies and industrial and provident societies (IPSs) (collectively referred to as co-operatives) offering and managing co-operative shares.
    Tags
    Client money or property services provider, Independent trustee, Roles, Business
    Type
    Page, Guidance

  4. 5 August 2021

    Online investing platforms

    Online investing platforms enable you to trade shares and other financial products yourself online. They are usually easy to use and often cheaper than a share broker, but you need to be comfortable making your own decisions as you won’t receive advice and often you won’t receive research reports.
    Tags
    Investing, Online investing platforms, Ways to invest, Consumer
    Type
    Page

  5. 1 September 2015

    KiwiSaver and beyond – turning a lump sum into a smooth income

    A survey of New Zealanders approaching retirement has found one in four people are unsure of how to manage the money in their KiwiSaver funds when they reach 65.
    Tags
    KiwiSaver & Superannuation, Media release, KiwiSaver providers, Managed investment schemes, Roles, Business, Consumer, News & Insights
    Type
    Page, Guidance

  6. 13 November 2023

    Make a protected disclosure (whistleblowing)

    If you believe there has been serious wrongdoing in relation to the financial markets by the organisation you work for, you can make a protected disclosure (whistle blowing).
    Tags
    Business, Consumer
    Type
    Page

  7. 15 March 2021

    Crypto asset service providers

    This page provides information about your obligations if you provide a ‘financial service’ related to crypto assets in New Zealand. Read more about types of financial products, initial coin offers, registration, AML/CFT obligations and fair dealing requirements
    Tags
    Cryptocurrencies, Compliance, Roles, Fair dealing, Obligations, Offer information, Licensing & registration, Business
    Type
    Page

  8. 12 August 2015

    Life after work - ready or not

    A new study shows that almost half of people over 50 years old have yet to figure out how they will reach their retirement goals. While four in ten people who have already retired, did so without a financial plan for their retirement.
    Tags
    KiwiSaver & Superannuation, Media release, Consumer, News & Insights
    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. 31 May 2024

    FAP regulatory returns

    All licensed FAPs are required to complete and submit an annual regulatory return. The regulatory return is a series of questions to obtain an up-to-date understanding of the nature, size and complexity of your financial advice provider service. This page provides you with information relevant to your annual regulatory return.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Roles, Business
    Type
    Page

  11. 15 August 2023

    Transparency statement on information gathering

    This transparency statement explains how the FMA collects, uses and shares information gathered about members of the public or other entities in accordance with the Information Gathering Model Standards issued by the State Services Commission (SSC) for information gathering.
    Tags
    Type
    Page

  12. 9 February 2021

    Choosing an online investing platform

    Online investing platforms enable you to trade shares and other financial products online. We give you things to think about when choosing an online investing platform
    Tags
    Online investing platforms, Ways to invest, Investing, Consumer
    Type
    Page

  13. 27 June 2019

    Asia Region Funds Passport

    New Zealand, Australia, Japan, Korea and Thailand have agreed to establish and implement what is known as the Asia Region Funds Passport. Once implemented, the passport will allow a managed fund based in one jurisdiction to be offered more easily to investors in other participating jurisdictions.
    Tags
    Asia Region Funds Passport Register, Business
    Type
    Page

  14. 28 September 2023

    Market operators

    A financial product market is a facility where financial products are bought or sold, or where offers or invitations to buy or sell financial products are made. Find the compliance, licensing and registration obligations and NZX notices on this page.
    Tags
    Compliance, Roles, Obligations, Licensing & registration, Business, Market operator
    Type
    Page