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  1. 21 June 2022

    Suspected scam: nesbittrusteeslimited.com

    We are concerned that nesbittrusteeslimited.com (‘the website’) is involved in a scam. The website falsely claims to be registered in New Zealand and is using details of a NZ entity, Nesbit Trustees No 1 Limited (‘Nesbit’), without permission. Nesbit has confirmed that they are not associated with the website.
    Tags
    Imposter website, Suspected scam, Consumer, Scams
    Type
    Page

  2. 29 June 2015

    NZX Obligations Review 2015

    The Financial Markets Conduct Act 2013 (FMC Act)
    requires the FMA to carry out a review, at least annually,
    of how well a licensed market operator is meeting the
    market operator obligations contained in section 314 of
    the FMC Act, and to publish a written report. This report was published in 2015.
    Tags
    Reports and Papers, Market operator, Roles, Monitoring, Business, News & Insights
    Type
    PDF

  3. 6 October 2021

    Persons spreadsheet - Supporting document for Auditors

    Persons spreadsheet - Supporting document for Auditors. Complete the relevant columns giving a list of all partners indicating those who are members of a professional body and those who hold practising certificate, the name and website address of the professional body and a link to, any publicly available online register of members published by the body.
    Tags
    Authorised body under a FAP, Roles, Business
    Type
    Spreadsheet, Submission form

  4. 30 May 2015

    CMB Information Sheet for May 2015

    Offers of contributory mortgages made by contributory mortgage brokers who are not lawyers are regulated under the Securities Act (Contributory Mortgage) Regulations 1988 (Regulations). The Regulations exempt brokers from certain disclosure and governance requirements, under the Securities Act 1978.
    Tags
    FMC Act, Governance, Legislation, Business, FMA
    Type
    PDF, Information Sheet

  5. 27 June 2019

    Auditor regulation and oversight plan 2019 2022

    This report summarises our plan relating to auditor oversight, as part of our obligation under section 52 of the Auditor Regulation Act 2011. It includes small changes to our previous plan, but overall our focus areas remain unchanged.
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  6. 16 June 2021

    Financial advice lender exclusion updated 2021

    This information sheet explains the circumstances that may exclude a lender from some Financial Markets Conduct Act 2013 (FMC Act) obligations related to financial advice. The exclusion applies only in relation to consumer credit contracts and certain credit-related insurance contracts. Updated documented published 16/06/21
    Tags
    Financial Adviser, Roles, Business
    Type
    PDF, Information Sheet

  7. 13 December 2019

    Green bonds same class exclusion info sheet 2019

    This information sheet explains the circumstances in which an issuer can make an offer of green bonds under the same class exclusion. It also explains when the Financial Markets Authority (FMA) might consider granting an individual exemption to facilitate offers of green bonds with the same credit characteristics as quoted ‘vanilla’ bonds from the same issuer.
    Tags
    Derivative Issuer, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Information Sheet

  8. 30 June 2020

    Consultation Joint response to managing intermediaries 11 nov 2013

    The Financial Markets Authority published a consultation paper on 11 July 2013 concerning certain obligations under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘AML/CFT Act’). The paper dealt with the obligations of reporting entities that transact with other
    reporting entities.17 submissions were received from market participants, industry bodies, law firms and consultants. This paper details the responses.
    Tags
    AML/CFT, Consultations, Roles, Business
    Type
    PDF

  9. 1 December 2013

    Accredited Body Report – New Zealand Institute of Chartered Accountants 2013

    NZICA’s obligations under the Act require it to have adequate and effective systems, policies and procedures
    in place to perform its regulatory functions. These functions include: licensing of domestic auditors and registering domestic audit firms; monitoring the population registered by NZICA; promoting and monitoring competence; taking action against misconduct.
    This report contains the outcome of FMA’s assessment and covers the period 1 July 2012 to 30 June 2013
    (the review period).
    Tags
    Reports and Papers, Monitoring, Auditors, Roles, Business, News & Insights
    Type
    PDF

  10. 18 November 2020

    Consumer Insights on Scams and Fraud research report 2020

    The main objectives of the research report commissioned by the FMA were to Measure the level of confidence the New Zealand public have in the New Zealand financial markets; Measure perceptions and awareness of the FMA; Explore how investors and have responded to market volatility following the COVID-19 pandemic; Capture New Zealanders’
    experience of investment scams.
    Tags
    Reports and Papers, Monitoring, Business, FMA, News & Insights, Scams
    Type
    PDF, Research

  11. 24 August 2016

    FMA Co-operation policy 2016

    The Financial Markets Authority (FMA) often receives the co-operation of entities or individuals when we investigate financial market misconduct.
    When deciding whether to pursue a regulatory response against an entity or individual, and if so, what sanction to use, one of the factors we may consider is the nature and extent of any co-operation they have provided.
    Tags
    Regulation, Policy, Business, FMA, Enforcement
    Type
    PDF

  12. 1 March 2016

    Consultation paper Exemptions impacting overseas businesses and restricted schemes 1

    This consultation is for: FMC reporting entities, licensed
    managers and scheme auditors, overseas banks, licensed independent trustees, restricted scheme managers, advisers and interested parties. It aims to seek feedback on the
    exemption proposals explained.
    Tags
    Independent trustee, Managed investment schemes, Consultations, Roles, Business
    Type
    PDF

  13. 9 December 2020

    Overseas research reports 2020

    Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 from 15 March 2021.
    Tags
    Reports and Papers, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Directors, Financial Advice Provider, Financial Adviser, Roles, Business, News & Insights
    Type
    PDF

  14. 1 November 2019

    A guide to understanding auditing and assurance 2019

    A guide to understanding auditing and assurance: FMC Reporting Entities in New Zealand explains in plain language the value and purpose of auditing and assurance. This will
    assist shareholders, investors and other readers of financial statements who are not experts in auditing and assurance to better understand the messages from the entity’s auditor and make use of this information in their decision making
    Tags
    Auditors, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Peer-to-peer lending service providers, Roles, Business
    Type
    PDF