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  1. 31 March 2014

    Commerce Commission - MOU

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

  2. 15 May 2023

    NZ RegCo - MOU

    This memorandum of understanding (MOU) sets out the framework for engagement and cooperation between the FMA and NZ RegCo, which takes into account their complementary regulatory roles.
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  3. 30 August 2013

    NZ Council of Victim Support Groups - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and New Zealand Council of Victim Support Groups
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  4. 20 February 2015

    Going Public - a directors guide

    This guide is intended to help directors assess whether going public is the right choice for their company and provide an insight into the process of becoming a public company. It is not a comprehensive account of the legal obligations of directors during an initial public offering (IPO).
    Tags
    Directors, Roles, Business
    Type
    PDF, Guidance

  5. 15 January 2015

    Institute of Directors - Directors guide

    This guide from the IoD outlines some of the essential behaviours directors should demonstrate to meet legal, regulatory and ethical standards, and tells you where you can go to find out more.
    Tags
    Directors, Roles, Business
    Type
    PDF

  6. 30 August 2023

    Gold Wise – Imposter website

    Gold Wise offers forex and cryptocurrency investments but it is not registered to provide financial services in New Zealand.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  7. 7 December 2022

    GD1 Services Limited DBG

    GD1 Management Limited DBG including: GD1 Management Ltd (5951187), TGF GP Limited (6983195), GD1 Nominees Limited (6080108), GD1 Founding LPs Nominee Limited (5950867), Technology Growth Fund L.P. (50001700)
    Tags
    Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  8. 8 September 2023

    Ronex-Coin – Unregistered business

    We recommend caution when dealing with Ronex-Coin. Ronex-Coin offers investment plans with unrealistically high returns on crypto products and purports to be based in New Zealand but is not registered on the Financial Service Providers Register (FSPR) to provide financial services in New Zealand.
    Tags
    Investor warning, Consumer
    Type
    Page

  9. 8 September 2023

    Unregistered businesses

    These pages contain the names of businesses or individuals that are not registered as a financial service provider in New Zealand but may be offering financial services.
    Tags
    Investor warning, Consumer
    Type
    Page

  10. 11 August 2022

    Introductory guide to full licence requirements

    This guide is for businesses or individuals applying for a Financial Advice Provider (FAP) full licence. It explains how to complete your online application, including the information you will need at the time you apply when full licensing opens from 15 March 2021.
    Tags
    Authorised body under a FAP, Client money or property services provider, Financial Advice Provider, Financial Adviser, Roles, Licensing & registration, Business, Interposed persons under new financial advice regime, Nominated representatives
    Type
    Page, Guidance

  11. 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

  12. 24 May 2017

    Licensing overview report 2017

    This report aims to Outline how we applied a flexible approach to applications and explain how the minimum standards and FMC Act eligibility criteria fit together, plus more.
    Tags
    Licensing & registration, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  13. 1 September 2012

    Pre-prospectus publicity

    Pre-prospectus publicity guidance note sets out the Financial Markets Authority’s (FMA) view on the boundaries of pre-regulated offer publicity/advertising (also commonly referred to as ‘pre-prospectus publicity’), as required by the Securities Act 1978 (Act) and FMA’s policy on the scope of pre prospectus publicity it will support by exemption.
    Tags
    Roles, Offer disclosure for equity and debt offers, Business
    Type
    Page, Guidance

  14. 1 April 2018

    Effective disclosure

    Effective disclosure guidance note was originally released in June 2012 and updated in 2014 to incorporate changes of the FMC Act. It is now no longer relevant.
    Tags
    Offer information, Business
    Type
    Page, Guidance

  15. 20 September 2023

    CREDENCE NZ LIMITED

    CREDENCE NZ LIMITED is an AML/CFT reporting entity.
    Tags
    Type
    Page