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  1. 2 July 2024

    Fair Conduct Programme

    A fair conduct programme (FCP) means effective policies, processes, systems and controls that are designed to ensure the financial institution’s compliance with the fair conduct principle.
    Tags
    Banking, Conduct, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Managed Investment Schemes, Roles, Business, Managed investment schemes
    Type
    Page

  5. 14 June 2024

    Financial Institutions

    A financial institution is a registered bank, licensed insurer, or licensed non-bank deposit taker (NBDT) that is in the business of providing one or more relevant services. View more about the licensing of Financial Institutions on this page.
    Tags
    Financial Institutions, Banking, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Managed Investment Schemes, Roles, Business, Managed investment schemes
    Type
    Page

  6. 9 May 2017

    IMF NZ FSAP Assessment 2017

    The FMA welcomes the publication of the International Monetary Fund’s Financial System Stability Assessment (FSSA) for New Zealand.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  7. 27 May 2024

    Board and governance

    This webpage introduces the FMA Board.
    Tags
    FMA Board, FMA
    Type
    Page

  8. 8 April 2024

    Peer-to-peer lending service providers

    Peer-to-peer lending is a type of financial market service covered by the FMC Act. Find out more about becoming a peer-to-peer lending service provider, the licensing and registration and compliance obligations along with exemptions available in New Zealand.
    Tags
    Compliance, Obligations, Licensing & registration, FMC Act, Exemptions, Roles, Legislation, Business, Peer-to-peer lending service providers
    Type
    Page

  9. 19 October 2021

    Rob Everett speaks at the FSC Conference 2021

    Transcript of speech by Rob Everett, Chief Executive, Financial Markets Authority, at the FSC Conference 2021.
    Tags
    Speeches and presentations , Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Financial Advice Provider, Financial Adviser, Independent trustee, Conduct, Roles, Business, Interposed persons under new financial advice regime, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Nominated representatives
    Type
    Page

  10. 26 March 2020

    Managing impacts on financial reporting for FMC reporting entities and Managed Investment Schemes

    The rapidly evolving COVID-19 situation is having a significant impact on FMC reporting entities’ financial reporting obligations and the ability to perform audits. Auditors should continue to comply fully with required professional and ethical standards. It is important that sufficient time is taken by both the entity and the auditor to complete the annual financial reporting and auditing process, even if this results in a delay in reporting.
    The FMA specifies guidance to auditors for their reporting obligations in these uncertain times.
    Tags
    COVID-19, FMC Act, Legislation, Business, News & Insights
    Type
    Page, Financial reporting

  11. 30 November 2023

    Regulatory co-operation

    The FMA co-ordinates our efforts and we share intelligence with other government agencies via the Council of Financial Regulators (CoFR). Find out more about the Council of Financial Regulators (CoFR) and other global agencies we co-operate with here.
    Tags
    Regulatory cooperation, FMA
    Type
    Page

  13. 15 August 2016

    FMA warns registered financial adviser

    FMA has issued a warning to an individual in relation to suspected misleading or deceptive conduct by a registered financial adviser.
    Tags
    Media release, Financial Adviser, Enforceable Undertaking, Roles, Business, News & Insights, Enforcement
    Type
    Page

  14. 13 September 2018

    Guide to being an effective director

    The essentials of being an effective director outlines some of the essential behaviours directors should demonstrate to meet legal, regulatory and ethical standards for directors, and tells you where you can go to find out more.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  15. 21 June 2017

    FMA seeks feedback on robo-advice exemption

    The FMA is seeking feedback on its proposals to allow entities to provide personalised financial advice generated by a computer programme or algorithm (robo-advice). This would be a temporary measure before new legislation is passed by Parliament.
    Tags
    Media release, Digital advice providers, Business, News & Insights
    Type
    Page