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  1. 31 August 2022

    Securities Act (Amalgamations)

    Securities Act (Amalgamations) - expired exemption notice
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  2. 25 June 2018

    Consultation paper: Proposed exemption from requirement to name assets

    Consultation paper: Proposed class exemption from requirement to name assets. Proposed class exemption from having to disclose the names of individual borrowers to investors provided other relevant information has been disclosed.
    Tags
    Managed investment schemes, Supervisor, Consultations, Roles, Business
    Type
    Page

  3. 2 July 2021

    Administrators of financial benchmarks

    Financial benchmarks are prices, rates, figures or indexes that are referenced in financial products or contracts. On this page, you will find out more about licensing of administrators of financial benchmarks; compliance obligations; costs of licensing and exemptions available to administrators of financial benchmarks.
    Tags
    Administrators of financial benchmarks, Licensing & registration, Roles, Obligations, Business
    Type
    Page

  4. 17 March 2023

    Financial advice regulatory regime - now in full effect

    Financial advice regulatory regime now in full effect and all financial advice providers (FAPs) must hold or operate under a full licence from the FMA if they want to provide regulated financial advice to retail clients.
    Tags
    Media release, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, New Financial Advice regime, Roles, Financial Services Legislation Amendment Act (FSLAA), Business, News & Insights, Nominated representatives
    Type
    Page

  6. 28 February 2024

    Auditors

    Auditor regulation and oversight helps to ensure the businesses we regulate (known as FMC reporting entities) have access to competent auditors, and these audits (known as FMC audits) are of a high standard. This page explains who needs to comply with the FMA, licensing and registration requirements, costs, levies and waivers, obligations, along with a number of important guidance documents and reports that are relevant to Auditors in New Zealand.
    Tags
    Auditors, Obligations, Licensing & registration, Roles, Directors, Business
    Type
    Page

  7. 8 April 2024

    Crowdfunding service providers

    Crowdfunding is a type of financial market service covered by the FMC Act. Find out more about becoming a crowdfunding service provider including details in licensing, obligations, fair dealing provisions, financial reporting, exemptions, levies and waivers, along with important guidance and reports..
    Tags
    Compliance, Crowdfunding providers, Roles, Obligations, Licensing & registration, Business
    Type
    Page

  8. 8 April 2024

    Discretionary Investment Management Service (DIMS)

    To provide discretionary investment management services (DIMS) under the FMC Act you must hold a DIMS market services licence issued under the FMA Act. Find out more about the licensing, fees associated with licensing, compliance obligations and exemptions available to this role in New Zealand.
    Tags
    Compliance, Discretionary investment management scheme (DIMS), Obligations, Licensing & registration, Roles, Business
    Type
    Page

  9. 26 May 2022

    KiwiSaver 2022: Own your own tomorrow

    FMA’s annual KiwiSaver campaign is taking place from June this year to encourage more New Zealanders to engage with their KiwiSaver. This year’s theme is “Own your Tomorrow” which reminds people that their financial future is up to choice, not chance, and that KiwiSaver is a simple way to invest for the future.
    Tags
    Investing, KiwiSaver & Superannuation, Campaigns, Consumer
    Type
    Page
    • Suspected scam

    11 June 2024

    Investor warning: wisefex.org Investment LTD

    wisefex.org Investment LTD has rebranded as Reliant Assets. We are aware their clients have been asked to use their new website domain: reliant-assets.net. We believe Wisefex is operating a scam through the website and their representatives or associates.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  11. 14 June 2024

    Conduct of Financial Institutions (CoFI) legislation

    The Financial Markets (Conduct of Institutions) Amendment Act 2022 amends the Financial Markets Conduct Act 2013 to ensure certain financial institutions treat consumers fairly. CoFI is designed to protect consumers by putting the consumer at the forefront of institutions’ decisions and actions. Read more about the CoFI legislation on this page.
    Tags
    Banking, Conduct, Legislation, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Roles, Business
    Type
    Page

  12. 13 September 2018

    The essentials of being a director

    This guide is intended to provide company directors and prospective directors with a quick reference and overview of some of the key things they should think about.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  13. 20 November 2020

    Fake/Cloned FCA Email

    The FMA has been made aware of New Zealand residents receiving an email purportedly from the United Kingdom’s Financial Conduct Authority (FCA). These emails include a link for the recipient to complete a compliance due diligence questionnaire.
    Tags
    Fake regulator, Scams
    Type
    Page

  14. 31 July 2014

    FMA issues first equity crowd funding licences

    The Financial Markets Authority today issued its first equity crowd funding licences under the Financial Markets Conduct Act 2013.
    Tags
    Crowdfunding providers, Media release, Roles, Business, News & Insights
    Type
    Page

  15. 28 May 2015

    Receivers and managers appointed to Arena Capital / BlackfortFX

    The High Court in Christchurch has granted the Financial Markets Authority’s (FMA) application for Grant Graham and Neale Jackson of KordaMentha to be appointed as receivers and managers of Arena Capital Limited, trading as Blackfort FX (Arena/Blackfort). Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page