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  4. 28 April 2020

    Exemptions grant temporary relief from some reporting deadlines

    FMA has granted two class exemption notices to provide market participants with an additional two months to provide their audited financial statements and comply with certain other regulatory requirements. Due to the disruption caused by COVID-19, the FMA is taking appropriate steps to provide regulatory relief.
    Tags
    COVID-19, News & Insights
    Type
    Page, Financial reporting

  5. 20 May 2022

    Fair dealing

    Underpinning the breadth of the FMC Act are the fair dealing provisions, which set out the core standards of behaviour that those operating in the financial markets must comply with. This webpage provides an overview of why the fair dealing and stop order provisions are important, who must comply with these requirements, the principles the FMA applies when assessing compliance, our enforcement approach and how you can report possible breaches.
    Tags
    Fair dealing, Business
    Type
    Page

  6. 27 June 2019

    Asia Region Funds Passport

    New Zealand, Australia, Japan, Korea and Thailand have agreed to establish and implement what is known as the Asia Region Funds Passport. Once implemented, the passport will allow a managed fund based in one jurisdiction to be offered more easily to investors in other participating jurisdictions.
    Tags
    Asia Region Funds Passport Register, Business
    Type
    Page

  8. 31 March 2023

    KiwiSaver Tracker

    The FMA no longer publishes the KiwiSaver Tracker. We recommend instead going to Sorted and using the Fundfinder tool.
    Tags
    Roles, KiwiSaver & Superannuation, Disclose register, Reports and Papers, Business, Consumer, Managed investment schemes, Supervisor
    Type
    Page, Resource

  9. 21 July 2023

    Financial institution licensing FAQs

    Find answers to frequently asked questions about financial institution licensing (also known as CoFI licensing) on this page.
    Tags
    Licensing & registration, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Business
    Type
    Page

  10. 31 July 2023

    Financial Market Infrastructures Standards issued

    Standards for designated Financial Market Infrastructures (FMIs) have been issued by the Reserve Bank of New Zealand (RBNZ) and the Financial Markets Authority (FMA), following two rounds of public consultation.
    Tags
    Media release, Financial market infrastructures, Roles, Business, News & Insights
    Type
    Page

  11. 21 September 2022

    Consolidated managed fund data

    Quarterly files with consolidated data for non-KiwiSaver managed funds.
    Tags
    Roles, Reports and Papers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Report

  12. 3 October 2023

    Compliance approach

    FMA takes a risk-based approach to our monitoring and surveillance activities, meaning we prioritise resources to those participants or practices that present the greatest risk to fair, efficient and transparent financial markets.
    Tags
    Compliance, Business
    Type
    Page

  13. 21 July 2022

    Regulatory approach

    We expect all market participants to pursue the objectives and spirit of regulation rather than the letter of the law. We supervise and monitor market participants in line with our statutory objectives. We supervise and monitor market participants in line with our statutory objectives. Where we see misconduct in financial markets, we seek to hold those responsible to account. These pages provide you more information on our regulatory and enforcement approach.
    Tags
    Regulation, Regulatory cooperation, Business, FMA
    Type
    Page

  14. 24 May 2021

    What to expect from your financial adviser

    When you deal with a licensed financial advice provider NZ law entitles you to minimum standards of service. Most financial advice providers must be licensed by the Financial Markets Authority. Learn more about what to expect from your financial adviser
    Tags
    Consumer
    Type
    Page

  15. 8 May 2023

    Contact

    Find out how to contact the FMA if you wish to ask us a question; make a complaint; contact our helplines, visit our offices or make a media enquiry.
    Tags
    FMA
    Type
    Page