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  1. 13 October 2022

    Offers of financial products

    Issuers are involved in first making a financial product available. They include a debt security, an equity security, a managed investment product, and a derivative. View more about offers of financial product and obligations of those offering financial products in New Zealand on this page.
    Tags
    Offer information, Offer disclosure for equity and debt offers, Roles, Business
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    Page

  2. 23 April 2024

    Managed investment scheme manager

    A Managed Investment Scheme (MIS) pools money from a number of investors who rely on the investment expertise of the MIS manager. These schemes can be structured in different ways and may invest in a wide range of investments. On this page you will find the licensing and registration and compliance obligations of a MIS manager. You will also find a list of KiwiSaver exempt employers.
    Tags
    Compliance, Obligations, Licensing & registration, Roles, Business, Managed investment schemes
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    Page

  3. 8 September 2014

    Consultation Paper: Derivatives Issuer Standard Condition on Suitability - Suitability of products for clients

    In November 2013 the Financial Markets Authority consulted on the minimum standards and conditions for derivatives issuers wishing to be licensed under the Financial Markets Conduct Act 2013 (the Act). As part of that consultation we sought responses on a condition relating to the assessment of suitability of products for clients. Two options were provided, one being disclosure based and the other an assessment by the issuer.
    Tags
    Derivative Issuer, Consultations, Roles, Business
    Type
    PDF

  4. 13 April 2015

    Response to Submissions Derivatives Issuer Standard Condition: Suitability of Products for Clients

    In November 2013 we consulted on the minimum standards and conditions for derivatives issuers wishing to
    be licensed under the Financial Markets Conduct Act 2013 (the Act). As part of that consultation we sought feedback on a condition relating to the assessment of suitability of products for clients. Two options were provided, one being disclosure based and the other an assessment by the issuer.
    Tags
    Derivative Issuer, Consultations, Roles, FMC Act, Legislation, Business
    Type
    PDF

  5. 19 March 2020

    FMA update on COVID-19

    The Financial Markets Authority (FMA) is closely monitoring the impact of the coronavirus situation on New Zealand’s financial markets and considering all available options to ensure markets continue to function well and to support participants, customers and investors.
    Tags
    COVID-19, FMC Act, New Financial Advice regime, Legislation, Media release, Business, News & Insights
    Type
    Page, Financial reporting

  9. 24 June 2021

    How to operate

    Getting prepared for licensing covers: who will need a licence under the new financial advice regime; the different ways to operate under the new regime, and provides an easy-to-navigate tool that will help guide you through the options if you're unsure how you wish to operate. See more.
    Tags
    New Financial Advice regime, Client money or property services provider, Financial Advice Provider, Financial Adviser, Roles, Business, Interposed persons under new financial advice regime, Nominated representatives
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    Page

  10. 1 January 2011

    Kensington Group Inc

    Kensington Group Inc is a suspected scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  12. 3 February 2023

    RAPSON LOANS & FINANCE LIMITED

    RAPSON LOANS & FINANCE LIMITED (FSP767832) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page