Back

Search results

Found 2764 results. Displaying page 46 of 185

  1. 28 October 2010

    Adviser Regulation Ready To 'Go-Live' On 1 December

    The Commissioner for Financial Advisers has taken the last formal step required for the introduction of the new financial advisers regulatory regime, with publication in the Gazette that 1st December 2010 will be the date on which the Code of Professional Conduct for Authorised Financial Advisers (AFAs) comes into effect.
    Tags
    Media release, News & Insights
    Type
    Page

  2. 5 August 2021

    Retail investor platforms research

    Research commissioned by the Financial Markets Authority to learn more about the use of online investing platforms, including investor profiles and behaviours.
    Tags
    Roles, Reports and Papers, Business, FMA, News & Insights
    Type
    Page, Research

  3. 20 June 2023

    Focus areas

    The FMA uses a range of tools to support the functioning of financial markets and services, and compliance with legislation. This section contains information about conduct regulation, ethical finance, climate related disclosures, innovation in financial markets, AML/CFT and consultations. 
    Tags
    AML/CFT, Offer information, Consultations, Exemptions, Roles, Conduct, Designations, Ethical finance, Business, FMA
    Type
    Page

  4. 28 February 2018

    Consultation paper: Updated Corporate Governance Handbook

    Consultation paper: Updated Corporate Governance Handbook. The handbook is designed as a guide for a wide range of companies and businesses. Read more.
    Tags
    Directors, Consultations, Roles, Business
    Type
    Page

  7. 20 November 2020

    Fake/Cloned FCA Email

    The FMA has been made aware of New Zealand residents receiving an email purportedly from the United Kingdom’s Financial Conduct Authority (FCA). These emails include a link for the recipient to complete a compliance due diligence questionnaire.
    Tags
    Fake regulator, Scams
    Type
    Page

  8. 11 May 2021

    Supreme Court rejects sentence appeal by PTT’s Steven Robertson

    The Financial Markets Authority - Te Mana Tātai Hokohoko (FMA) has welcomed the Supreme Court’s decision to dismiss a sentence appeal by Steven Robertson of PTT Limited, bringing the matter to a close.
    Tags
    Media release, Consumer, News & Insights, Enforcement, Scams
    Type
    Page

  9. 5 March 2024

    Speech by Samantha Barrass at Financial Advice New Zealand Thrive Conference

    Samantha Barrass talks to Financial Advice New Zealand (FANZ) about the future of financial advice and the quest for better customer outcomes.
    Tags
    Speeches and presentations , Authorised body under a FAP, Financial Advice Provider, Financial Adviser, New Financial Advice regime, Roles, Business, News & Insights, Nominated representatives
    Type
    Page

  10. 5 August 2021

    Online investing platforms

    Online investing platforms enable you to trade shares and other financial products yourself online. They are usually easy to use and often cheaper than a share broker, but you need to be comfortable making your own decisions as you won’t receive advice and often you won’t receive research reports.
    Tags
    Investing, Online investing platforms, Ways to invest, Consumer
    Type
    Page

  12. 15 March 2021

    Understanding the risks

    Online investing platforms enable you to trade shares and other financial products online. Take a look at risks that come with using and investing with an online investment platform.
    Tags
    Online investing platforms, Ways to invest, Investing, Consumer
    Type
    Page

  13. 7 June 2024

    Financial Advice Provider (FAP)

    A financial advice provider (FAP) is an individual or entity (e.g. a company) that provides a "financial advice service". Find out more about licensing, registration, costs and ongoing obligations as well as how to comply with the new Code of Professional Conduct for financial advice services including competence, knowledge and skill requirements as well as requirements for ethical behaviour, conduct and client care.
    Tags
    New Financial Advice regime, Compliance, Financial Advice Provider, Obligations, Licensing & registration, Roles, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    Page

  14. 28 July 2010

    Issuers Could Improve Corporate Governance Reporting

    The Securities Commission's latest review of corporate governance reporting shows that while most issuers are doing well, many need to improve their disclosures when it comes to ethical standards, directors and executive's remuneration, risk management, and shareholder and stakeholder relations.
    Tags
    Media release, News & Insights
    Type
    Page

  15. 2 June 2010

    Guide for Authorised Financial Advisers Released

    The Securities Commission today released the AFA Adviser Business Statement Guide to help financial advisers prepare for the new regulatory regime. The guide explains the document to be prepared by an adviser applying to become an Authorised Financial Adviser (AFA).
    Tags
    Media release, News & Insights
    Type
    Page, Guidance