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  3. 26 May 2022

    Record keeping for financial advice providers

    This information sheet sets out our expectations for how licensed financial advice providers (FAPs) can demonstrate compliance with the standard condition for record keeping.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance

  4. 23 June 2023

    Climate-related disclosures regime and the use of third-party providers

    Guidance to assist climate reporting entities in understanding what they should consider before engaging a third-party provider to deliver services for the climate-related disclosures.
    Tags
    Authorised body under a FAP, Banking, Insurance Providers, Climate related disclosure, Financial Institutions, Roles, Climate Reporting Entities, Business, Managed investment schemes, News & Insights
    Type
    Page, Guidance

  5. 28 January 2021

    Market Operator Obligations Targeted Review – NZX

    Findings from the FMA’s targeted review of whether NZX is meeting its licensed market operator obligations
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    Page

  6. 3 February 2023

    Reasonable grounds for financial advice about financial products

    Guidance on the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about financial products purchased for investment purposes.
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Business, Nominated representatives
    Type
    Page, Guidance

  7. 16 October 2022

    Climate risks and the impact on financial statement audits

    This document provides clarity for auditors about the expectations for information about climate risks in audit files.
    Tags
    Climate related disclosure, Auditors, Roles, Ethical finance, Authorised body under a FAP, Climate Reporting Entities, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  8. 8 July 2022

    Approach to oversight of financial statements

    In this document we provide a summary of our main work in monitoring compliance with financial reporting obligations by FMC reporting entities and registered schemes (regulated entities) from 2022-2025.
    Tags
    Auditors, Directors, Roles, Climate related disclosure, Climate Reporting Entities, Business
    Type
    Page, Financial reporting, Guidance

  9. 14 April 2021

    Managed fund fees and value for money

    Guidance and principles to help managers and supervisors of KiwiSaver schemes and other managed investment schemes to demonstrate how they are meeting their existing obligations, statutory duties, and conduct expectations in respect of fees and value for money.
    Tags
    Roles, Supervisors, Business, Managed investment schemes
    Type
    Page, Guidance

  10. 10 December 2021

    Outsourcing CDD to a third-party provider

    Section 34 of the AML/CFT Act allows a reporting entity to authorise and rely on an agent to conduct CDD procedures on its behalf. An agent is a person that has legal authority to represent another party. If you outsource the above CDD procedures under section 34 to a third-party provider, the provider must be acting as your agent. In these circumstances, you remain responsible for ensuring that the CDD conducted by the third-party provider is undertaken to the level required by the AML/CFT Act. Read the full guidance on this page.
    Tags
    AML/CFT, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Financial Adviser, Roles, Business
    Type
    Page, Guidance

  11. 29 July 2021

    Developing cyber resilience for financial advice providers

    Guidance for small and medium-sized financial advice providers (FAPs) on enhancing the security and resilience of their technology systems.
    Tags
    Roles, Financial Advice Provider, Directors, Financial Adviser, Business
    Type
    Page, Guidance

  12. 29 October 2021

    High-Risk Jurisdictions subject to a "Call for Action" – FATF

    This guidance is to assist reporting entities comply with the public statement issued by FATF on High-Risk Jurisdictions subject to a “Call for Action” and the subsequent Advisory issued by the Ministry of Justice and the New Zealand Police in this regard.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page, Guidance

  13. 16 December 2020

    Complying with the prohibition on the notice of trusts on registers

    This information sheet explains the FMA’s expectations in regards to how issuers of regulated products can comply with the prohibition on the notice of trusts being entered on the register that is required to be kept by the issuer.
    Tags
    Roles, Offers of financial products, Derivative Issuer, Business
    Type
    Page, Guidance

  14. 9 March 2021

    Australian Licensees Exemption Notice guidance

    This guidance note provides an overview of the exemption notice relating to Australian advice businesses giving advice to New Zealand retail clients, and the circumstances in which a business may be able to rely on it.
    Tags
    Financial Advice Provider, Roles, Financial Adviser, Financial Institutions, Business
    Type
    Page, Guidance

  15. 14 December 2020

    Disclosure framework for integrated financial products

    This document gives guidance on the advertising and disclosure expectations of the Financial Markets Authority in respect of financial products that incorporate non-financial factors.
    Tags
    Offer information, Roles, Offers of financial products, Business
    Type
    Page, Guidance