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  1. 9 December 2020

    Consultation Standard conditions FAP submissions combined part one

    Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.
    Tags
    Financial Advice Provider, Consultations, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  2. 9 December 2020

    Consultation Standard conditions FAP submissions combined part two

    Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.
    Tags
    Financial Advice Provider, Consultations, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  4. 20 February 2017

    Conduct Outcomes Report 2016

    This report highlights the key issues and actions from our enforcement, supervision and preventative activities in the period 1 July 2015 to 30 June 2016.
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF

  5. 28 February 2013

    FMA's Compliance Focus for 2013

    This document outlines the Financial Markets Authority’s (FMA’s) priority areas for monitoring and surveillance in 2013. It provides an opportunity for participants to assess their activities and take steps to improve behaviours and compliance controls in these areas.
    Tags
    Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Paper

  6. 27 February 2019

    Using behavioural insights to improve KiwiSaver outcomes

    KiwiSaver behavioural insights 2019 report uses behavioural insights to improve KiwiSaver outcomes. Read the report here.
    Tags
    Roles, Reports and Papers, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Report

  8. 20 July 2023

    Rates Finder - Comparison website harvesting investor details

    We are concerned that Rates Finder may be operating a scam. Titan Solutions Limited operates a website claiming to find the best term deposit savings rates in New Zealand.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  9. 26 June 2018

    Foreign Securities Commission of New Zealand

    We are concerned that the “Foreign Securities Commission of New Zealand” (FSC) is claiming to be a New Zealand financial services regulator and endorsing products and services from suspected scams.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page

  10. 31 July 2023

    Standard 22 Communication procedures

    Standard 22 Communication procedures for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF