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  1. 23 September 2016

    Inland Revenue - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and Inland Revenue
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  2. 5 November 2019

    Declaration Fit and Proper - Audit /Management Partner

    This statutory declaration should be completed by Audit firms managing partner/s and should be submitted to the FMA when you apply for a licence to operate.
    Tags
    Auditors, Roles, Business
    Type
    PDF, Declaration form

  3. 20 April 2023

    Am I a Climate Reporting Entity FAQ

    Entities required by legislation to produce climate statements are known as Climate Reporting Entities or CREs. Find out if you are a Climate Reporting Entity on this fact sheet.
    Tags
    Climate related disclosure, Banking, Insurance Providers, Roles, Authorised body under a FAP, Financial Institutions, Climate Reporting Entities, Business, Managed investment schemes, Supervisor
    Type
    PDF, Fact sheet

  4. 2 February 2017

    A guide to the FMA's view of conduct

    A guide to FMA's view of conduct guide describes why good conduct matters and how high standards of conduct support fair, efficient and transparent markets. This handbook is intended as a reference for directors, executives and advisers to decide how best to apply the principles for corporate governance to their particular entity.
    Tags
    Derivative Issuer, Conduct, Independent trustee, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Cryptocurrencies, Crowdfunding providers, Authorised body under a FAP, Auditors, Roles, Financial Adviser, Directors, Client money or property services provider, Business, Interposed persons under new financial advice regime, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Page, Guidance

  6. 5 September 2023

    Governance Thematic Review FMA and RBNZ

    This publication reports on the findings from a joint review of 29 entities across the banking, insurance, non-bank deposit taking and investment management sectors to assist boards to meet their obligations and help drive good governance outcomes.
    Tags
    Directors, Banking, Conduct, Reports and Papers, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Roles, Business, News & Insights
    Type
    PDF

  7. 5 September 2023

    Governance Thematic Review

    A joint RBNZ and FMA thematic review examining the policies, processes and operational practices of boards of financial institutions in key areas of governance.
    Tags
    Directors, Banking, Conduct, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Roles, Reports and Papers, Business, News & Insights
    Type
    Page

  8. 1 July 2015

    Alliance Group Tokyo

    A recent warning has been issued by the Australian Securities and Investment Commission against conducting business with Alliance Group Tokyo.
    Tags
    Suspected scam, Scams
    Type
    Page

  9. 5 December 2023

    FMA Annual Report 2023

    Financial Markets Authority 2023 Annual Report
    Tags
    FMA
    Type
    PDF, Annual report, Corporate publications

  10. 2 March 2021

    Aplexva

    Aplexva is not a registered entity or financial service provider in New Zealand and is not subject to regulation in New Zealand. We are concerned that Aplexva may be operating a scam. Aplexva’s claims of operating from New Zealand are incorrect.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  11. 3 February 2020

    Vowfx

    Vowfx could be involved in a scam. Its website contains false claims about FMA regulation.
    Tags
    Suspected scam, Scams
    Type
    Page

  12. 28 May 2021

    belgrovefinance.com

    We are concerned the operators of the website www.belgrovefinance.com may be operating a scam. The website is falsely claiming to be registered in New Zealand. It falsely states it is associated with Belgrove Finance and Investments Limited, an entity incorporated in New Zealand.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  13. 30 January 2024

    Exemption Notice BGC revocation notice

    This notice, which comes into force on the day after the date of its notification in the Gazette, revokes the Financial Markets Conduct (BGC Partners (Australia) Pty Limited) Exemption Notice 2022.
    Tags
    Type
    PDF

  14. 28 February 2024

    Wealth Morning Limited

    Wealth Morning Limited, FSP596789 is an AML reporting entity.
    Tags
    AML/CFT, Climate Reporting Entities, Roles, Business
    Type
    Page

  15. 28 February 2024

    Wei Wang

    Wei Wang, FSP487006 is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page