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  1. 29 July 2022

    Investor confidence report – annual results

    The 2022 Investor Confidence Survey found 66% of investors are confident in the country’s financial markets, down from 72% in 2021. View all annual Investor Confidence reports on this page.
    Tags
    Directors, Roles, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Report, Research

  2. 4 October 2019

    AML/CFT Audit Guideline for risk assessment and AML/CFT programme

    The AML/CFT Audit Guideline for risk assessment and AML/CFT programme is designed to help reporting entities manage the requirement to audit their AML/CFT risk assessment and AML/CFT programme.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  4. 18 November 2020

    Audit quality - a director’s guide

    Audit quality – a director’s guide offers guidance for directors and shareholders of New Zealand FMC reporting entities about how to improve audit quality.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  5. 25 September 2019

    FMA welcomes Government announcement on expanded remit

    The FMA (Financial Markets Authority) welcomed the Government’s announcement that it would introduce legislation to create an oversight regime for regulating conduct in the banking and insurance sectors.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  6. 16 February 2024

    Riseup Trade – Suspected scam

    The FMA considers Forex a derivative. Entities offering derivative services in New Zealand are required to hold a derivatives issuer licence. Riseup Trade does not hold this type of licence, nor is it registered on the Financial Service Providers Register.
    Tags
    Derivative Issuer, Suspected scam, Derivatives, Roles, Business, Consumer, Scams
    Type
    Page

  7. 29 April 2024

    AML/CFT beneficial ownership guideline

    The AML/CFT beneficial ownership guideline and associated fact sheets are to assist reporting entities in meeting the requirement to perform customer due diligence on the customer and beneficial owners of the customer under sections 11-26 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009.
    Tags
    AML/CFT, Roles, Business, News & Insights
    Type
    Page, Guidance

  8. 23 April 2024

    Liquidity risk management guide

    Effective liquidity risk management is a fundamental capability that Managed Investment Scheme (MIS) managers need to implement, maintain and enhance. The guide is designed to assist managers and supervisors effectively manage and oversee liquidity risk.
    Tags
    Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Guidance

  9. 17 May 2024

    New AML/CFT regulations – joint statement by AML/CFT Supervisors on supervisory approach

    The Department of Internal Affairs, the Financial Markets Authority and the Reserve Bank of New Zealand (‘the Supervisors’) welcome the changes to AML/CFT requirements as a result of the various Amendment Regulations coming into force on 1 June 2024.
    Tags
    AML/CFT, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), News, Roles, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
    Type
    Page, Guidance

  10. 25 July 2022

    Bank regulatory capital

    Registered banks in New Zealand must hold a certain amount of ‘capital’ to make them less likely to go out of business. This is called regulatory capital, and banks offer financial products to raise this money. Find out more about the risks and common terms here.
    Tags
    Ways to invest, Investing, Bank regulatory capital, Consumer
    Type
    Page

  11. 19 January 2012

    FMA and SFO sign Memorandum of Understanding

    The Financial Markets Authority (FMA) and the Serious Fraud Office (SFO) have signed a Memorandum of Understanding (MOU) which will enhance their already close working relationship and drive greater efficiencies between the two agencies.
    Tags
    Media release, FMA, News & Insights
    Type
    Page

  12. 9 August 2011

    FMA announces appointment and reappointments to Code Committee

    The Board of the Financial Markets Authority has appointed Dimity Kingsford-Smith, a Professor of Law at the University of New South Wales, to the Code Committee for Authorised Financial Advisers for a term of three years.
    Tags
    Media release, News & Insights
    Type
    Page

  14. 1 June 2015

    Funds Administration New Zealand Limited

    Funds Administration New Zealand Limited, FSP3961, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page