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  1. 9 June 2017

    FMA files charges under Crimes Act

    Robert Ian South and Murray Byron Provan appeared in the Tauranga District Court in relation to various charges filed by the FMA under the Crimes Act. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  2. 20 February 2015

    Consultation paper: Going Public – A Director’s Guide

    Going Public – A Director’s Guide is intended to help directors assess whether going public is the right choice for their company and to provide an insight into the process of becoming a public company.
    Tags
    Directors, Roles, Consultations, Business
    Type
    Page

  3. 11 April 2017

    Consultation paper: Improving financial information in an equity PDS

    Consultation paper: Improving financial information in an equity PDS. Guidance for equity issuers on how to disclose financial information in product disclosure statements (PDS) in a clear, concise and effective manner.
    Tags
    Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    Page

  4. 20 February 2015

    Consultation paper: Going Public – A Director’s Guide

    Going Public – A Director’s Guide is intended to help directors assess whether going public is the right choice for their company and to provide an insight into the process of becoming a public company.
    Tags
    Directors, Roles, Consultations, Business
    Type
    Page

  6. 13 July 2017

    Consultation paper: Disclosing non-GAAP financial information

    Consultation paper: Disclosing non-GAAP financial information. This guidance note communicates our expectations on presenting non-GAAP financial information, including pro-forma financial information.
    Tags
    Cryptocurrencies, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Consultations, Roles, Business, Managed investment schemes
    Type
    Page

  7. 8 March 2017

    Consultation paper: KiwiSaver advice

    Consultation paper: KiwiSaver advice. This guidance note is for providers advising on KiwiSaver products and will replace our 2012 Guidance Note: Sale and Distribution of KiwiSaver. We are replacing this guidance to recognise feedback that our 2012 approach resulted in some people not getting the help they needed, as firms saw it as risky to provide advice. Read more here.
    Tags
    Consultations, Roles, Business, Managed investment schemes
    Type
    Page

  12. 29 March 2019

    FADC Findings published

    The Financial Advisers Disciplinary Committee (FADC) has published its findings in a case referred to the Committee by the FMA. Read more.
    Tags
    Media release, Financial Adviser, Roles, Business, News & Insights
    Type
    Page

  13. 5 December 2013

    FMA releases audit quality report

    The Financial Markets Authority (FMA) says its first audit quality review shows there is work to be done to meet the required standards.
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page, Guidance

  14. 6 March 2023

    KiwiSaver annual statistical returns

    The purpose of this guide is to explain how to complete the KiwiSaver annual statistical return and the page provides a link to FMA's online services where you can complete your return online.
    Tags
    KiwiSaver providers, Regulatory returns, Roles, Business, Managed investment schemes
    Type
    Page

  15. 15 March 2021

    Start to new licensing regime for financial advice

    The Financial markets Authority (FMA) welcomes the start of the new financial advice regime from 15 March 2021. Under the new regime, anyone who gives regulated financial advice to retail clients must either hold, or operate under, a Financial Advice Provider licence. All providers of financial advice are now subject to the same obligation to place the interests of their clients first and must adhere to a new Code of Conduct.
    Tags
    Licensing & registration, Financial Services Legislation Amendment Act (FSLAA), Media release, Business
    Type
    Page