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  2. 19 March 2024

    Licensing application guide - Independent trustee PART B6

    Your guide to applying for a Independent Trustees licence under the Financial Markets Conduct Act.
    All the questions you’ll be asked, the minimum standards you’ll need to show you meet, and information about the details and supporting documents you’ll need to provide.
    Please make sure you read this guide in conjunction with our ‘Part A’ licensing guide.
    Tags
    Independent trustee, Roles, Licence guide, Licensing & registration, Business
    Type
    PDF

  3. 19 March 2024

    Licensing application guide - Crowd funding PART B1

    Your guide to applying for a market service licence under the Financial Markets Conduct Act.
    All the questions you’ll be asked, the minimum standards you’ll need to show you meet, and information about the details and supporting documents you’ll need to provide
    Tags
    Crowdfunding providers, Roles, Licence guide, Licensing & registration, Business
    Type
    PDF

  4. 19 March 2024

    Licensing application guide - Derivatives issuers PART B5

    Your guide to applying for a derivative issuer market service licence under the Financial Markets Conduct Act. Please make sure you read this guide in conjunction with our ‘Part A’ licensing guide.
    Tags
    Derivative Issuer, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  6. 21 July 2023

    Licensing guide -Financial Institutions

    This guide is for businesses who are intending to apply for a financial institution licence.
    Tags
    Banking, Licensing & registration, Insurance Providers, Financial Institutions, Business
    Type
    PDF

  7. 14 March 2023

    Licensing guide - FAP

    This guide is for businesses and individuals intending to apply for a Financial Advice Provider (FAP) Licence.
    Tags
    Financial Advice Provider, Roles, Licence guide, Licensing & registration, Business
    Type
    PDF

  8. 19 March 2024

    Licensing application guide - Peer to peer licensing guide PART B2

    Your guide to applying for a Peer to Peer licence under the Financial Markets Conduct Act.
    All the questions you’ll be asked, the minimum standards you’ll need to show you meet, and information about the details and supporting documents you’ll need to provide.
    Please make sure you read this guide in conjunction with our ‘Part A’ licensing guide.
    Tags
    Licence guide, Roles, Licensing & registration, Business, Peer-to-peer lending service providers
    Type
    PDF

  9. 25 March 2024

    CBL managing director Peter Harris admits continuous disclosure and fair dealing contraventions and agrees Enforceable Undertaking

    The FMA has reached agreement with former CBL Corporation Limited (In Liquidation) (CBLC) managing director Peter Harris on claims relating to continuous disclosure breaches and misleading conduct (the Continuous Disclosure Proceeding). 
    Tags
    Media release, Enforceable undertaking, Powers, Financial Institutions, Business, News & Insights, Enforcement
    Type
    Page

  13. 19 March 2024

    Licensing application guide - Managed Investment Schemes (MIS) PART B3

    Your guide to applying for a Managed Investment Scheme (MIS) licence under the Financial Markets Conduct Act.
    All the questions you’ll be asked, the minimum standards you’ll need to show you meet, and information about the details and supporting documents you’ll need to provide.
    Please make sure you read this guide in conjunction with our ‘Part A’ licensing guide.
    Tags
    Licence guide, Roles, Licensing & registration, Business, Managed investment schemes
    Type
    PDF

  14. 16 June 2022

    Update on the KiwiSaver default scheme provider change process

    May 2021, the Finance Minister and Minister of Finance and the Minister of Commerce and Consumer Affairs announced the 6 KiwiSaver providers who will offer default fund services from 1 December 2021.
    Tags
    KiwiSaver & Superannuation, Article, Consumer, News & Insights
    Type
    Page

  15. 8 April 2024

    Peer-to-peer lending service providers

    Peer-to-peer lending is a type of financial market service covered by the FMC Act. Find out more about becoming a peer-to-peer lending service provider, the licensing and registration and compliance obligations along with exemptions available in New Zealand.
    Tags
    Compliance, Obligations, Licensing & registration, FMC Act, Exemptions, Roles, Legislation, Business, Peer-to-peer lending service providers
    Type
    Page