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  1. 27 March 2019

    PCC decision - Richard Owen Dey and Michael Derek Wood

    The Professional Conduct Committee of the Chartered Accountants Australia New Zealand (CA ANZ) has published its findings in relation to Richard Owen Dey and Michael Derek Wood. Read more.
    Tags
    Auditors, Enforceable action, Roles, Reports and Papers, Business, News & Insights, Enforcement
    Type
    Page

  2. 12 December 2013

    Finanstilsynet (Denmark) - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Financial Supervision Commission of Bulgaria.MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and Finanstilsynet (Denmark).
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  3. 12 December 2013

    Autorite des marches financiers (France) - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Autorite des marches financiers (France)
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  4. 12 December 2013

    Finansinspektionen Sweden - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Finansinspektionen Sweden
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  6. 1 June 2012

    Licence Application Guide - overseas Auditors and Audit Firm registrations

    This guide is for overseas auditors and overseas audit firms. It explains how: an overseas audit firm can apply for authorisation of its registration; overseas auditors can apply for licences (which are not transitional licences and are referred to in this guide as ‘standard’ licences).
    Tags
    Auditors, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  7. 23 May 2017

    Licensing guide - FMC Act

    To offer certain financial products and services in New Zealand, you need to be licensed. Being licensed shows your customers you meet the legal eligibility criteria and levels of compliance in the Financial Markets Conduct Act (FMC Act). This guide provides you with an understanding of your obligations under the Act when applying for a licence with the FMA.
    Tags
    FMC Act, Legislation, Licensing & registration, Business
    Type
    PDF

  8. 19 May 2016

    Licensing guide - MIS managers of forestry schemes

    This guide supplements Part B of our licensing application guides. It explains to businesses providing a managed
    investment scheme (MIS) service of a forestry scheme how to approach their licence application under the Financial
    Markets Conduct Act 2013 (FMC Act).
    Tags
    Licence guide, Roles, Licensing & registration, Business, Managed investment schemes
    Type
    PDF

  9. 15 January 2015

    Institute of Directors - Directors guide

    This guide from the IoD outlines some of the essential behaviours directors should demonstrate to meet legal, regulatory and ethical standards, and tells you where you can go to find out more.
    Tags
    Directors, Roles, Business
    Type
    PDF

  10. 15 August 2016

    Legislative notices supporting the FMC Act regime

    To support businesses implementing the Financial Markets Conduct Act 2013 (FMC Act), the FMA has been working, in consultation with the sector, on various legislative tools such as exemptions, frameworks, methodologies, public accountability notices, and designations (the FMA’s legislative tools).
    We have also been working with the Ministry of Business, Innovation, and Employment (MBIE) on the
    amendments to the Financial Markets Conduct Regulations 2014 (FMC Regulations). These tools and
    regulatory amendments are designed to help businesses and individuals comply with the requirements
    of the FMC Act regime.
    Tags
    Crowdfunding providers, Derivative Issuer, FMC Act, Roles, Legislation, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    PDF, Notice

  11. 14 July 2020

    Class legislative notice summary 2020

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 30 June 2020. It includes exemptions, designations, frameworks or methodologies, and public accountability notices
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  12. 19 May 2016

    FMA legislative notices supporting the FMC Act

    To support businesses implementing the Financial Markets Conduct Act 2013 (FMC Act), the FMA has been working, in consultation with the sector, on various legislative tools such as exemptions, frameworks, methodologies, public accountability notices, and designations to help businesses and individuals comply with the Act.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  13. 11 July 2022

    Class legislative notice summary 2022

    This is a summary of the Financial Markets Conduct Act class legislative notices we have granted as
    at 1 June 2022. It includes exemptions, designations, frameworks or methodologies, and public
    accountability notices.
    Tags
    Designations, FMC Act, Exemptions, Legislation, Business
    Type
    PDF

  14. 2 August 2023

    Class legislative notices summary 2023

    This is a summary of the Financial Markets Conduct Act class legislative notices we have granted
    (and are in force) as at 1 June 2023. It includes exemptions, designations, frameworks or
    methodologies, and public accountability notices.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice