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  1. 1 September 2011

    Identity verification - Code of Practice

    Customers of financial institutions and casinos can expect more stringent identity checks in the lead up to 30 June 2013 when anti-money laundering legislation comes fully into force. Businesses now have access to guidance on the standard those identity checks should meet.
    Tags
    Media release, News & Insights
    Type
    Page

  4. 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

  5. 17 December 2019

    FMA files civil proceedings against CBL Corporation, its directors and chief financial officer

    The FMA has issued two sets of civil proceedings in the Auckland High Court against CBL Corporation Limited (In liquidation) (CBLC), the six directors and the chief financial officer alleging multiple breaches of the Financial Markets Conduct Act 2013 (“FMC Act”). The FMA is seeking declarations of contravention¹ and civil pecuniary penalties in both proceedings.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  9. 22 February 2018

    FMA opens applications for personalised digital advice

    FMA is now open for applications from providers seeking to offer personalised financial advice to consumers through digital tools and platforms (so-called robo-advice).
    Tags
    Media release, Digital advice providers, Business, News & Insights
    Type
    Page

  10. 25 August 2020

    Exemption: Banks and NBDTs August 2020

    24 August: The RBNZ and FMA have received an exemption for registered banks and licensed non-bank deposit takers (NBDTs) to carry out critical financial services at Alert Level 3.
    Tags
    COVID-19, News & Insights
    Type
    Page

  11. 1 December 2010

    Financial Advisers Regulatory Regime Comes Into Force

    The new regulatory regime for financial advisers begins today, with the first Authorised Financial Advisers receiving their certificates of authorisation at a ceremony in Auckland from Commissioner for Financial Advisers, David Mayhew. The regulatory regime will be phased in between today and 1 July 2011.
    Tags
    Media release, FMA, News & Insights
    Type
    Page

  12. 13 July 2018

    CBL investigation update

    The FMA has completed a preliminary assessment of the information obtained as part of the CBL investigation to date and has concerns about potential breaches of the Financial Markets Conduct Act 2013 and the Companies Act 1993. Read more.
    Tags
    Media release, Cases, Business, News & Insights, Enforcement
    Type
    Page

  13. 1 March 2021

    Property syndicates

    Joining a property syndicate can be an easy way to get into the property market, but there can be significant risk involved. Learn more before you start.
    Tags
    Property syndicates, Ways to invest, Investing, Consumer
    Type
    Page

  14. 30 April 2014

    Investor experience of IPOs survey

    An online survey of 303 New Zealanders who invested in or seriously considered investing in a recent IPO was conducted to provide an overview of the IPO experience.
    Tags
    Offer information, Roles, Reports and Papers, Business, Market operator
    Type
    Page, Surveys