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  1. 30 November 2022

    FMA progressing CoFI implementation with publication of licensing materials

    The FMA is continuing to progress preparations for the Financial Markets (Conduct of Institutions) Amendment Act 2022 (CoFI), with the release of a suite of materials for financial institutions.

    Tags
    Banking, Media release, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Managed Investment Schemes, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page

  2. 19 February 2014

    Charges laid against contributory mortgage brokers

    The Financial Markets Authority (FMA) has charged two contributory mortgage brokers (Prudential Mortgage Limited and First Mortgage Investments Limited) with failing to deliver annual reports. Read more.
    Tags
    Media release, News & Insights
    Type
    Page

  8. 23 April 2024

    Managed investment scheme manager

    A Managed Investment Scheme (MIS) pools money from a number of investors who rely on the investment expertise of the MIS manager. These schemes can be structured in different ways and may invest in a wide range of investments. On this page you will find the licensing and registration and compliance obligations of a MIS manager. You will also find a list of KiwiSaver exempt employers.
    Tags
    Compliance, Obligations, Licensing & registration, Roles, Business, Managed investment schemes
    Type
    Page

  9. 11 March 2013

    Profitable Sunrise (Prosun)

    Illegally offers securities to the public in New Zealand in breach of NZ securities law.
    Tags
    Suspected scam, Scams
    Type
    Page

  10. 15 October 2021

    The Financial Markets Conduct (Overseas Banks Offering Simple Debt Products) Exemption Notice 2021

    The Financial Markets Conduct (Overseas Banks Offering Simple Debt Products) Exemption Notice 2021 provides applies to banks that are licensed, registered, or otherwise authorised to carry on banking business in certain overseas jurisdictions that have been determined by the FMA to have regulatory oversight standards that are broadly equivalent to those that apply in New Zealand and that have signed the International Organization of Securities Commissions Multilateral Memorandum of Understanding.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  11. 14 September 2022

    KiwiSaver Statements survey

    KiwiSaver statements survey to understand members’ engagement with their annual statement and attitudes towards KiwiSaver.
    Tags
    Managed investment schemes, Supervisor, Roles, KiwiSaver & Superannuation, Business, Consumer
    Type
    Page, Surveys

  12. 11 March 2016

    Warning: Beware of unsolicited offers of employment

    We have become aware that an organisation falsely claiming to be associated with a New Zealand Authorised Financial Adviser has been contacting members of the public via the Australian website www.seek.com.au offering employment as Payment Security Managers.
    Tags
    Scams
    Type
    Page

  13. 19 May 2011

    Statement on Whimp Decision

    The Court has confirmed that the 'deferred payment' offers made by Mr Bernard Whimp and associated entities were misleading. FMA accepts the Court's decision. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  14. 6 April 2018

    Financial Markets Conduct (Incidental Offers) Exemption Amendment Notice 2018

    Financial Markets Conduct (Incidental Offers) Exemption Amendment Notice 2018, which comes into force on the day after the date of its notification in the Gazette, amends the Financial Markets Conduct (Incidental Offers) Exemption Notice 2016 (the 2016 notice).Expired.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  15. 4 July 2019

    Statement of Performance Expectations 2019

    The Statement of Performance Expectations (SPE) is one of two documents that set out how we measure our
    future performance and report on the progress of that performance against our performance targets. This is our 2019 report.
    Tags
    Type
    PDF