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  1. 8 April 2024

    FMA introduces new standard condition on business continuity and technology systems plus new process for reporting operational incidents

    The FMA is introducing a new standard condition for certain market licence holders following consultation. The new licence condition will focus on business continuity and technology systems. The new condition will come into effect on 1 July 2024.
    Tags
    Media release, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Standard conditions, Roles, Licensing & registration, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
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    Page

  2. 12 July 2023

    Consultation: Proposed standard condition on business continuity and technology systems

    The FMA has issued a Regularly Impact Statement (RIS) and summary of responses following consultation on a proposed new business continuity and technology systems standard condition for managers of registered schemes (but not restricted schemes), DIMS providers, derivatives issuers, peer-to-peer lending providers and crowdfunding service providers.
    Tags
    Consultations, Crowdfunding providers, Derivative Issuer, Discretionary Investment Management Services (DIMS), Roles, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page

  4. 8 April 2024

    Standard Conditions for Peer to peer

    If you are granted a peer-to-peer (P2P) lending service licence, the licence will be subject to the following conditions.
    Tags
    Standard conditions, Roles, Licensing & registration, Business, Peer-to-peer lending service providers
    Type
    PDF

  5. 8 April 2024

    Standard Conditions for DIMS

    DIMS standard conditions, updated April 2024 explains the systems and procedures to maintain relevant records pertaining to your market service and the records you must provide to the FMA to enable us to monitor your on- going capability to effectively perform the DIMS in accordance with the applicable eligibility criteria in the Act.
    Tags
    Discretionary investment management scheme (DIMS), Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF

  6. 8 April 2024

    Standard conditions for MIS

    If the FMA grants you a licence to act as a manager of a non-restricted and registered managed investment
    scheme (MIS manager licence), the licence will be subject to conditions set out in section 402 of the
    Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Standard conditions, Roles, Licensing & registration, Business, Managed investment schemes, Supervisor
    Type
    PDF

  7. 8 April 2024

    Standard Conditions for Crowd Funding

    If you are granted a crowdfunding service licence, the licence will be subject to these standard conditions.
    Tags
    Crowdfunding providers, Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF

  9. 2 April 2024

    NZX Notices archive

    See here the list of notices issued by FMA under Financial Market Conduct Act (FMCA).
    Tags
    Type
    Page, Notice

  10. 9 April 2024

    Sirk Investments Limited – Imposter website, suspected scam

    The FMA is concerned that Sirk Investments Limited may be operating an ongoing scam. Its website is linked to an earlier warning issued about an imposter of J Rothschild.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  11. 1 March 2024

    TOR FX PTY LIMITED

    TOR FX PTY LIMITED, FSP1006222, is a licensed derivatives issuer.
    Tags
    Derivative Issuer, Roles, Licensed entity, Reporting entities, Business
    Type
    Page