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  2. 20 October 2022

    Key terms under the CoFI regime

    The Financial Markets (Conduct of Institutions) Amendment Act 2022 has introduced some key terms to describe the framework for regulating the conduct of financial institutions in New Zealand – also known as the CoFI regime. This page lists some of the key terms and their definitions.
    Tags
    Conduct of Financial Institutions Bill (CoFI), Banking, Conduct, Insurance Providers, Financial Institutions, Ways to invest, Investing, Managed Investment Schemes, Roles, Business, Consumer, Managed investment schemes
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  3. 19 June 2024

    FMA and XRB issue user guides to help users of climate statements

    The Financial Markets Authority (FMA) and the External Reporting Board (XRB) – have jointly produced a set of guides designed to help people understand the Climate-related Disclosures (CRD) regime
    Tags
    Media release, Ethical investing, Business, Consumer, News & Insights
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  4. 19 October 2022

    FMA warns InvestNow for AML/CFT deficiencies and failures

    FMA has issued a formal warning to InvestNow Saving and Investment Service Limited for failing to comply with anti-money laundering requirements.
    Tags
    AML/CFT, Client money or property services provider, Media release, Enforceable action, Roles, Formal warning, AML/CFT formal warning, Powers, Business, News & Insights, Enforcement
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    Page

  6. 13 December 2021

    FMA cancels financial advice provider’s transitional licence

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has cancelled the transitional financial advice provider (FAP) licence of Wisdom House Investment Partners Limited, after its sole financial adviser engaged in serious misconduct at his previous employer.
    Tags
    Financial Adviser, Roles, Enforceable action, Media release, Business, News & Insights, Enforcement
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    Page

  7. 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
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    Page

  8. 13 June 2016

    FMA approves class exemptions that recognise existing regulation of overseas issuers

    We have approved a series of class exemptions for overseas issuers which allow issuers making offers to New Zealand investors to rely on the disclosure, governance, financial reporting and audit requirements of their overseas jurisdiction where their regulatory standards are equivalent to New Zealand’s.
    Tags
    Regulation updates, Business
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    Page

  9. 29 June 2018

    Switzerland recognises New Zealand audit oversight regime

    The Swiss Government has announced its recognition of the New Zealand audit oversight regime as equivalent to the Swiss standards, permitting NZ-regulated auditors to operate in Switzerland.
    Tags
    Auditors, Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Notice

  10. 9 May 2024

    Financial Markets Conduct Abacus Storage King Exemption Notice 2024

    The Financial Markets Conduct (Abacus Storage King) Exemption Notice 2024 (Notice) exempts Abacus Storage Operations Limited (ASOL) and Abacus Storage Property Trust (the Trust) (together the issuers), and Abacus Storage Funds Management Limited (ASFML) (as responsible entity for the Trust under Australian law) from compliance with the disclosure requirements in Part 3 of the Financial Markets Conduct Act 2013 Act (Act), and exempts the Trust and ASFML from compliance with the governance requirements for managed investment schemes in Part 4 of the Act. The exemptions apply only to offers of stapled securities (each consisting of a share in ASOL and a unit in the Trust) which are made under an employee security plan established by the issuers to certain eligible persons in New Zealand (Abacus Storage King ESP).
    Tags
    Type
    PDF, Exemption notice

  11. 27 March 2024

    Financial Markets Conduct (Silverwood Land 2015 Limited Partnership) Exemption Notice 2024

    Silverwood Land 2015 Limited Partnership (scheme) is a forestry scheme that has been winding up for several years. The scheme has some remaining real estate assets that it seeks to sell. The scheme is the subject of the Financial Markets Conduct (Silverwood Land 2015 Limited Partnership) Exemption Notice 2021, which is revoked on the close of 31 March 2024.
    Tags
    Exemptions, Business
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  14. 1 March 2022

    FMA censures CTRL Investments for derivatives issuer licence breaches

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has censured CTRL Investments Limited for contravening the conditions of its derivatives issuer (DI) licence.
    Tags
    Enforceable action, Derivative Issuer, Roles, Media release, Business, News & Insights, Enforcement
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    Page

  15. 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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