Back

Search results

Found 4356 results. Displaying page 33 of 291

  1. 14 March 2024

    Tradesafer – Suspected scam

    We recommend caution when dealing with Tradesafer/ Australian Trader/Tradesafer Group (Tradesafer) and its various websites.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  3. 27 July 2022

    FMA review of ethical investing claims in managed funds

    A review of 14 KiwiSaver and other managed funds to establish how well they are applying the FMA’s integrated financial product (IFP) guidance.
    Tags
    Roles, Ethical finance, Media release, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page

  4. 12 April 2024

    Multi Global Leaders – Suspected scam

    We recommend caution when dealing with Multi Global Leaders and its website www.MultiGlobalLeaders.com.

    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  6. 21 December 2023

    Financial Markets Conduct (Climate Statements – Stride Property Group) Exemption Notice 2023

    The Financial Markets Conduct (Climate Statements – Stride Property Group) Exemption Notice 2023 (Notice) exempts Stride Investment Management Limited (SIML) and Stride Property Limited (SPL), which are part of the stapled group, comprising SIML, SPL and subsidiaries of SPL (Stride Property Group or SPG) from certain provisions of Part 7A of the Financial Markets Conduct Act 2013 (Act).
    Tags
    Exemptions, Business
    Type
    Page

  7. 30 May 2024

    FMA publishes first monitoring insights report into Financial Advice Providers

    The FMA today published its first monitoring report of the new financial advice regime. The report shows how a range of Financial Advice Providers (FAPs) responded to the obligations and licensing requirements under the new regime introduced during the transitional period in 2021, and fully effective from March 2023.
    Tags
    Media release, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Roles, Business, News & Insights, Nominated representatives
    Type
    Page

  8. 31 January 2024

    People & leadership

    Welcome to the FMA. This page introduces the FMA's executive leadership team and staff policies.
    Tags
    FMA executive team, FMA
    Type
    Page

  11. 23 April 2024

    Finance professionals

    The business pages provide financial market participants with guidance and information to fulfil your ongoing licence and regulatory obligations.
    Tags
    Compliance, Business, FMA
    Type
    Page

  12. 24 January 2023

    FMA publishes 2022 annual report

    Our 2022 annual report details a year that encompassed four main areas of focus for the regulator: monitoring and oversight of financial market participants; preparations for new financial markets legislation; building investor capability; and enforcement activity.
    Tags
    Media release, News & Insights
    Type
    Page, Annual report, Corporate publications

  13. 4 October 2021

    Self assessment tool cyber security and BCP

    Planning for all types of risk is an essential part of any business. As a financial advice provider, clients rely on you to ensure their information is secure, confidential, and available at all times. By taking the time to prepare for the unexpected, you’ll be able to get back on your feet quickly, protecting both your clients and your business.
    Use this self-assessment tool to see if you’re ready to complete the cyber security and business continuity planning section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply. *
    Tags
    Financial Advice Provider, Licensing & registration, Roles, Business
    Type
    PDF

  14. 23 April 2024

    Supervisors

    Supervisors are appointed to look after investors' interests for some types of financial products and the interests of residents of retirement villages. Supervisors covered by the Financial Markets Supervisors Act 2011 (the FMS Act) are those who supervise debt securities; Registered schemes, including KiwiSaver schemes, specified managed funds and superannuation schemes, and retirement villages.View more about licensing and registration and the obligations of Supervisors in New Zealand on this page.
    Tags
    Compliance, Obligations, Licensing & registration, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page

  15. 23 April 2024

    Managed investment scheme manager

    A Managed Investment Scheme (MIS) pools money from a number of investors who rely on the investment expertise of the MIS manager. These schemes can be structured in different ways and may invest in a wide range of investments. On this page you will find the licensing and registration and compliance obligations of a MIS manager. You will also find a list of KiwiSaver exempt employers.
    Tags
    Compliance, Obligations, Licensing & registration, Roles, Business, Managed investment schemes
    Type
    Page