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  1. 15 May 2017

    Consultation paper: Class designation of shares to managed investment products in an MIS

    Consultation paper: Class designation of shares to managed investment products in an MIS. This consultation paper considers when shares in investment companies may be designated as managed investment products (MIPs). Being MIPs subject these investment companies to the licensing, disclosure and governance requirements of managed investment schemes.
    Tags
    Investing, Consultations, Roles, Business, Consumer, Managed investment schemes
    Type
    Page

  2. 2 February 2017

    Consultation paper: A guide to the FMA's view of conduct

    Consultation paper: A guide to the FMA's view of conduct. We are seeking feedback on our conduct guide. The guide details how we will examine whether financial service providers are demonstrating good conduct under the Financial Markets Conduct Act (FMC Act).
    Tags
    Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Financial Advice Provider, Financial Adviser, Conduct, Consultations, Roles, Business, Interposed persons under new financial advice regime, FMA, Peer-to-peer lending service providers, Supervisor
    Type
    Page

  3. 31 May 2023

    Entity demands tax payment that does not exist

    We are aware that Ariseinvslimited.com requires its clients to pay a type of investment tax which does not exist in New Zealand.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  4. 13 April 2021

    FMA provides breakdown of financial advice providers in the new regime

    The Financial Markets Authority (FMA) has provided transitional licence numbers under the new financial advice regime, revealing how many financial advice providers are operating in New Zealand. It follows the start of the new financial advice regime last month.
    Tags
    New Financial Advice regime, Media release, Financial Advice Provider, Financial Services Legislation Amendment Act (FSLAA), Roles, Business, News & Insights
    Type
    Page

  5. 1 December 2020

    Who will need a licence to provide financial advice

    The changes to how we regulate financial advice in New Zealand mean only those operating under licensed financial advice providers can give advice to retail clients. This fact sheet was drafted by the FMA ahead of the new financial advice regime to assist in helping navigate the new regime as a potential licence holder.
    Tags
    Financial Adviser, Roles, Financial Advice Provider, Licensing & registration, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    PDF, Information Sheet

  7. 1 December 2020

    Who will need a licence to provide financial advice?

    Only those operating under licensed financial advice providers can give advice to retail clients. This advice can be provided in various ways, including directly through online facilities such as digital advice, or through financial advisers or nominated representatives.
    Tags
    Financial Advice Provider, Licensing & registration, Roles, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    Page, Guidance

  8. 17 November 2021

    New self-assessment tools aim to boost success of financial advice providers

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has released three new self-assessment tools to help financial advice providers (FAPs) prepare for full licensing.
    Tags
    Financial Advice Provider, Roles, Media release, Financial Services Legislation Amendment Act (FSLAA), Business, News & Insights
    Type
    Page

  9. 9 March 2023

    Explore your Financial Advice Provider (FAP) options

    The explore your options tool was created to help financial advice providers navigate the licensing options under the new financial advice regime. It covers some of the more straightforward ways you can operate.
    Tags
    Financial Advice Provider, Financial Adviser, New Financial Advice regime, Licensing & registration, Roles, Authorised body under a FAP, Financial Services Legislation Amendment Act (FSLAA), Business, Interposed persons under new financial advice regime, Nominated representatives
    Type
    Page

  11. 4 August 2022

    FMA survey sheds light on New Zealanders’ experiences with financial sector and concepts of fair treatment

    Research from the FMA reveals insights into the mindset and motivations of consumers as they manage their money and deal with financial services firms.
    Tags
    Crowdfunding providers, Directors, Derivative Issuer, Banking, Media release, Insurance Providers, Roles, Discretionary investment management scheme (DIMS), Offer information, Conduct of Financial Institutions Bill (CoFI), Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Supervisor
    Type
    Page

  12. 7 June 2023

    TryTrade – Unregistered business, cold calling

    TryTrade is not registered on New Zealand’s Financial Services Provider Register to provide any financial products or services to New Zealand residents.
    Tags
    Investor warning, Consumer
    Type
    Page

  13. 8 June 2023

    FMA files proceedings against AA Insurance for alleged fair dealing breaches

    FMA has filed civil proceedings against AA Insurance Limited (AAI) for failing to apply multi policy and membership discounts, as well as guaranteed no claims bonuses to eligible customers’ premiums,
    Tags
    Media release, Fair dealing, Cases, Powers, Enforceable undertaking, Court – civil, Insurance Providers, Business, News & Insights, Enforcement
    Type
    Page

  14. 1 June 2023

    FMA files proceedings against Medical Assurance Society over fair dealing provision breaches

    FMA has filed High Court proceedings against Medical Assurance Society New Zealand Limited (MAS) and its subsidiaries for fair dealing breaches under section 22 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Fair dealing, Media release, Cases, Enforceable undertaking, Powers, Insurance Providers, Business, News & Insights, Enforcement
    Type
    Page

  15. 20 October 2022

    Key terms under the CoFI regime

    The Financial Markets (Conduct of Institutions) Amendment Act 2022 has introduced some key terms to describe the framework for regulating the conduct of financial institutions in New Zealand – also known as the CoFI regime. This page lists some of the key terms and their definitions.
    Tags
    Conduct of Financial Institutions Bill (CoFI), Banking, Conduct, Insurance Providers, Financial Institutions, Ways to invest, Investing, Managed Investment Schemes, Roles, Business, Consumer, Managed investment schemes
    Type
    Page