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  1. 22 November 2018

    Portfolio Superannuation Scheme Levy Waiver

    On 22 November 2018, the FMA granted a waiver of part of the FMA levy to Portfolio Superannuation Scheme, which is comprised of the Personal Plans, with Saturn Invest New Zealand Limited (Saturn) acting as the manager of the Scheme.
    Tags
    Managed investment schemes, Investor information, KiwiSaver & Superannuation, Roles, Waivers, Business, Consumer
    Type
    PDF

  2. 1 June 2014

    Declaration by independent trustee individual

    Declaration form to be completed by individual independent trustees.
    Tags
    Independent trustee, Roles, Licensing & registration, Declaration, Business
    Type
    Word document, Application form

  3. 1 December 2013

    Accredited Body Report – New Zealand Institute of Chartered Accountants 2013

    NZICA’s obligations under the Act require it to have adequate and effective systems, policies and procedures
    in place to perform its regulatory functions. These functions include: licensing of domestic auditors and registering domestic audit firms; monitoring the population registered by NZICA; promoting and monitoring competence; taking action against misconduct.
    This report contains the outcome of FMA’s assessment and covers the period 1 July 2012 to 30 June 2013
    (the review period).
    Tags
    Reports and Papers, Monitoring, Auditors, Roles, Business, News & Insights
    Type
    PDF

  4. 9 April 2020

    CoFR table of deferred regulatory initiatives April 2020

    The table provides a comprehensive list of the regulatory initiatives that are being deferred during the Covid-19 crisis.
    Tags
    COVID-19, Council of financial regulators (CoFR), FMA, News & Insights
    Type
    PDF

  5. 18 November 2020

    Consumer Insights on Scams and Fraud research report 2020

    The main objectives of the research report commissioned by the FMA were to Measure the level of confidence the New Zealand public have in the New Zealand financial markets; Measure perceptions and awareness of the FMA; Explore how investors and have responded to market volatility following the COVID-19 pandemic; Capture New Zealanders’
    experience of investment scams.
    Tags
    Reports and Papers, Monitoring, Business, FMA, News & Insights, Scams
    Type
    PDF, Research

  6. 12 July 2013

    consultation paper charitable and religious purposes exemption review

    In this paper we seek submissions on proposals relating to the review the Financial Markets Authority (FMA) is undertaking on the Securities Act (Charitable and Religious Purposes) Exemption Notice 2003 (SR 2003/66) (the CRP Notice), which is due to expire on 30 November 2013.
    FMA is reviewing the CRP Notice simultaneously with the Reserve Bank of New Zealand’s review of the appropriate treatment of charitable and religious organisations under the Non-bank Deposit Takers regime.
    Tags
    Consultations, Supervisor, Roles, Business
    Type
    PDF

  7. 29 September 2022

    Catalist market operator obligations review 2022

    This report covers the first market obligations review for Catalist, and covers the period from 21 June 2021, the licence commencement date, to 31 March 2022, the end of Catalist’s first reporting period.
    Tags
    Market operator, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  8. 30 June 2016

    aml cft annual report user guide 2016

    This user guide can be used as a reference for AML CFT reporting entities when completing their annual report
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Information Sheet

  9. 1 June 2014

    Declaration by current proposed director of licence applicant

    Declaration to be completed by current or proposed directors of a licence applicant for market services licences under the FMC Act 2013.
    Tags
    Directors, Roles, Declaration, Licensing & registration, Business
    Type
    Word document, Application form

  10. 1 March 2016

    Consultation paper Exemptions impacting overseas businesses and restricted schemes 1

    This consultation is for: FMC reporting entities, licensed
    managers and scheme auditors, overseas banks, licensed independent trustees, restricted scheme managers, advisers and interested parties. It aims to seek feedback on the
    exemption proposals explained.
    Tags
    Independent trustee, Managed investment schemes, Consultations, Roles, Business
    Type
    PDF

  11. 22 October 2020

    Consultation paper Recognition of Australian Adviser Qualifications

    Consultation: This guidance note is for any person who gives regulated financial advice, and their advisers and interested parties. It seeks feedback on proposed recognition of
    certain Australian adviser qualifications.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Consultations, Roles, Business
    Type
    PDF

  12. 30 April 2021

    CoFR Consumer Vulnerability Framework April 2021

    Members of the Council of Financial Regulators (CoFR)1 have agreed on a common understanding of the characteristics of a vulnerable consumer. We are presenting this as a framework to help industry in developing their own approaches to assisting vulnerable consumers. This framework is non-binding and serves as a guideline only. We
    would anticipate firms to consult widely in developing their own terminology, procedures, and processes for assisting vulnerable consumers. These should focus on the evolving needs of the consumers they serve, should be appropriate for their business and in accordance with any specific
    legislative requirements.
    Tags
    Financial Advice Provider, Banking, Regulation, Roles, Council of financial regulators (CoFR), Business, FMA
    Type
    PDF

  13. 29 October 2019

    FMA Model Litigant Policy

    This policy has been developed by the Financial Markets Authority (FMA). It is a statement of principles and embodies the commitment made by FMA on how we will conduct litigation. It is intended to reflect the existing law and is not intended to amend the law or impose additional legal or professional obligations on legal practitioners or other individuals.
    Tags
    Policy, Business, FMA, Enforcement
    Type
    PDF

  15. 1 July 2020

    Registering correctly on the FSPR

    The new financial advice regime requires you to update your details on the public register of financial service providers (FSPR). This register is located on the Companies Office website. How you update your registration on the FSPR will depend on how you plan to operate in the new regime. This fact-sheet explains what you need to know.
    Tags
    New Financial Advice regime, Client money or property services provider, Roles, Financial Advice Provider, FSPR, Licensing & registration, Business
    Type
    PDF, Information Sheet