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  1. 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

  2. 12 December 2018

    MIS manager valuation and pricing practices

    MIS manager valuation and pricing practices information sheet sets out our recommendations following a review of the pricing and valuation practices of Managed Investment Scheme (MIS) managers. It will be of particular interest to MIS managers and their supervisors.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  3. 1 May 2014

    New governance and accountability framework for debt issuers and their licensed supervisors

    The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors in the New governance and accountability framework for debt issuers and their licensed supervisors information sheet.
    Tags
    Offer disclosure for equity and debt offers, Supervisors, Roles, Business
    Type
    Page, Guidance

  4. 1 November 2018

    Determining whether you are acquiring a business or assets guidance

    Determining whether you are acquiring a business or assets guidance sets out our view of what constitutes a ‘business’ for these purposes, as opposed to an asset. It also sets out additional information issuers should consider disclosing for asset acquisitions.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  5. 19 July 2017

    Fee disclosure by managed funds guidance

    Fee disclosure by managed funds guidance helps managers and supervisors understand how fees should be disclosed in Product Disclosure Statements, fund updates and, in respect of KiwiSaver schemes, confirmation information.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  6. 15 March 2018

    Fair dealing in advertising and communications – crowdfunding and peer-to-peer lending

    Fair dealing in advertising and communications – crowdfunding and peer-to-peer lending guidance aims to ensure licensed crowdfunding and peer-to-peer lending platforms understand their obligations when advertising or communicating with customers.
    Tags
    Fair dealing, Crowdfunding providers, Roles, Business, Peer-to-peer lending service providers
    Type
    Page, Guidance

  7. 18 September 2023

    Jecbit Finance Limited – Unregistered, Imposter website

    We recommend caution when dealing with Jecbit Finance Limited. It offers forex and cryptocurrency investments but is not registered to provide financial services in New Zealand. It falsely claims to be a registered company in New Zealand, using the address, NZ Business Number (NZBN) and other business registration details of another company, JEC Finance Limited.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  8. 4 September 2023

    Westpac CC and FMA EU

    Enforcement undertakings to the FMA and Commerce Commission, Westpac CC and FMA EU
    Tags
    Enforceable Undertaking, Enforceable undertaking, Powers, Enforcement
    Type
    PDF

  9. 12 May 2020

    Scams Samoan language

    This Scams information sheet has been designed for Samoan-speaking audiences to quickly identify if they've been scammed and who to contact.
    Tags
    Investor information, Consumer, Scams
    Type
    PDF

  10. 18 October 2023

    Exemption Notice - Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2023

    The Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2023 provides an exemption for issuers of financial products who wish to provide their PDS in both te reo Māori and English, providing relief from the requirements in the FMC Regulations relating to the prescribed length limits and, if necessary, some prescribed statements and formatting.
    Tags
    Exemptions, Business
    Type
    PDF

  11. 25 October 2023

    Fixed Rate Options – Social media advertising harvesting investor details

    We are concerned that advertisements from “Fixed Rate Options” appearing in social media feeds may be connected to a scam. The advertisements claim to help consumers discover the “top five performing fixed term deposits in 2023”.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  12. 24 November 2023

    Audit Quality Monitoring Report

    The Audit Quality Monitoring Report 2023 emphasises that high-quality audits are vital to ensuring investors can make active choices based on clear, concise, and effective information.
    Tags
    Auditors, Roles, Directors, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  13. 30 November 2023

    Regulatory co-operation

    The FMA co-ordinates our efforts and we share intelligence with other government agencies via the Council of Financial Regulators (CoFR). Find out more about the Council of Financial Regulators (CoFR) and other global agencies we co-operate with here.
    Tags
    Regulatory cooperation, FMA
    Type
    Page

  14. 4 December 2023

    NZ Best Rates - Comparison website harvesting investor details

    We are concerned that NZ Best Rates may be operating a scam. NZ Best Rates's website claims to offer a way to compare and find the best term deposit rates in New Zealand, while also providing information on choosing term deposits.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  15. 5 December 2023

    FMA publishes 2023 annual report

    The FMA today published the FMA annual report for the year to 30 June 2023.
    Tags
    Media release, Business, FMA, News & Insights
    Type
    Page, Annual report, Corporate publications