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  2. 1 September 2021

    FAP Licensing Application Guide Class 2 questions

    FAP Licensing Application Guide Class 2 questions: This document contains the questions you will be asked when applying for a Class 2 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.
    Tags
    Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  6. 5 May 2017

    FMC (NZX Main Board/Debt Market Listing Rules) Approval of Rule Change Notice 2017)

    The changes approved in this notice are: a new NZX Corporate Governance Code that will replace existing Appendix 16 to the Listing Rules, changes to the Listing Rule 10.4.5, changes to references to the title of Appendix 16, and correction of a typographical error.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  8. 11 June 2018

    Publishing default information for peer to peer lending services 2018

    This guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information. It sets out what ‘default’ means, when licensees must comply with the standard and guidelines on how to publish fair, clear and transparent information.
    Tags
    Compliance, Peer-to-peer lending service providers, Roles, Business
    Type
    PDF

  10. 25 March 2019

    190325 Share This investor guide

    Share This! is a guide produced by the FMA to help novice investors navigate investing investing in shares.
    Tags
    Shares, Investing, Investor information, Ways to invest, Consumer
    Type
    PDF

  11. 1 October 2014

    Declaration by executive director of related body

    Declaration form to be completed by executive director's of a related body.
    Tags
    Directors, Authorised body under a FAP, Roles, Declaration, Licensing & registration, Business
    Type
    Word document, Application form

  14. 30 January 2015

    Expense disclosure CE Gifts 2014 Jul Dec

    CE gifts and hospitality disclosure for the period 1 July 2014 - 31 December 2014.
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF