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  1. 19 January 2023

    Managed Investment Scheme – Sector Risk Assessment

    This sector risk assessment (SRA) identifies some areas in the Managed Investment Schemes (MIS) sector the FMA considers to be higher risk.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Supervisors, Business, Managed investment schemes, News & Insights
    Type
    Page

  2. 9 July 2021

    AML/CFT regulations update 2021

    New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) system is intended to adapt as money laundering and terrorism financing risks evolve. Two regulations, that are a key part of the AML/CFT system, were due to expire. These are the AML/CFT (Exemptions) Regulations 2011 which were scheduled to expire on 30 June 2020, and the AML/CFT (Definitions) Regulations 2011 which partially expire on 27 July 2021. This document sets out the changes and updates made for these regulations. These changes come into force 9 July 2021.
    Tags
    AML/CFT, Regulation updates, Roles, Business, Nominated representatives
    Type
    Page, Guidance

  3. 17 November 2021

    Climate-related disclosures regime implementation approach

    This document explains the Climate-related Disclosures (CRD) legislation and outlines the Financial Markets Authority’s implementation approach for the CRD regime.
    Tags
    Directors, Roles, Ethical finance, Climate related disclosure, Authorised body under a FAP, Financial Institutions, Climate Reporting Entities, Business, FMA, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  4. 13 September 2018

    The essentials of being a director

    This guide is intended to provide company directors and prospective directors with a quick reference and overview of some of the key things they should think about.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  5. 1 March 2014

    Monitoring investment risk in KiwiSaver schemes

    Monitoring investment risk in KiwiSaver schemes guidance note is designed to assist Trustees of retail non-restricted KiwiSaver schemes (Trustees), in performing their functions effectively.
    Tags
    Supervisors, Roles, Business, Managed investment schemes
    Type
    Page, Guidance

  6. 1 April 2018

    Effective disclosure

    Effective disclosure guidance note was originally released in June 2012 and updated in 2014 to incorporate changes of the FMC Act. It is now no longer relevant.
    Tags
    Offer information, Business
    Type
    Page, Guidance

  7. 18 September 2023

    Supporting customers in financial difficulty

    The Commerce Commission and the Financial Markets Authority have collaborated on a joint message that outlines ways that financial service providers (including consumer lenders) can support customers who are experiencing financial difficulty.
    Tags
    Reports and Papers, News & Insights
    Type
    Page

  8. 21 September 2023

    Trustee and Nominee exemptions

    The Trustee Corporations and Nominee Companies which have notified FMA that they have opted in to this exemption are listed here.
    Tags
    Exemptions, Business
    Type
    Page

  9. 21 September 2023

    IM Academy – Overseas warnings

    We recommend caution when dealing with IM Academy. Several overseas regulators have issued public warnings about IM Academy, including the recent warning issued by the Commission de Surveillance du Secteur Financier, Luxembourg (CSSF) on 24 May 2023
    Tags
    International regulator alerts, Investor warning, Consumer, Scams
    Type
    Page

  12. 29 September 2023

    FMA consults on proposed liquidity risk management guidance

    FMA has released proposed guidance for Managed Investment Scheme (MIS) managers and their supervisors for effective liquidity risk management (LRM).
    Tags
    Media release, Supervisors, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page

  13. 6 October 2023

    AgroCura – Imposter website

    The entity AgroCura is purporting to be a registered company in New Zealand by using the name and Certificate of Incorporation of a registered New Zealand company, Agrocura Limited. A director of Agrocura Limited has confirmed it has no association with this website. Note, the initial warning has been updated.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  14. 28 July 2016

    FMA releases conduct guide for feedback

    FMA has released a guide to how it will examine whether financial services providers are demonstrating good conduct under the Financial Markets Conduct Act (FMC Act).
    Tags
    Conduct, Media release, Business, News & Insights
    Type
    Page