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  1. 21 December 2022

    AML/CFT

    The Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) and its regulations place obligations on New Zealand’s financial institutions to detect and deter money laundering and terrorism financing. Find out more about your AML/CFT obligations on this page.
    Tags
    AML/CFT, Roles, Obligations, Reporting entities, AML/CFT act 2009, Legislation, Business
    Type
    Page

  2. 25 July 2022

    Bank regulatory capital

    Registered banks in New Zealand must hold a certain amount of ‘capital’ to make them less likely to go out of business. This is called regulatory capital, and banks offer financial products to raise this money. Find out more about the risks and common terms here.
    Tags
    Ways to invest, Investing, Bank regulatory capital, Consumer
    Type
    Page

  4. 4 August 2022

    FMA survey sheds light on New Zealanders’ experiences with financial sector and concepts of fair treatment

    Research from the FMA reveals insights into the mindset and motivations of consumers as they manage their money and deal with financial services firms.
    Tags
    Crowdfunding providers, Directors, Derivative Issuer, Banking, Media release, Insurance Providers, Roles, Discretionary investment management scheme (DIMS), Offer information, Conduct of Financial Institutions Bill (CoFI), Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Supervisor
    Type
    Page

  5. 2 February 2016

    Guide for charities

    This information sheet outlines the options for community and voluntary organisations wanting to borrow money from investors. (This does not include donations).
    Tags
    Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF

  6. 8 April 2024

    Crowdfunding service providers

    Crowdfunding is a type of financial market service covered by the FMC Act. Find out more about becoming a crowdfunding service provider including details in licensing, obligations, fair dealing provisions, financial reporting, exemptions, levies and waivers, along with important guidance and reports..
    Tags
    Compliance, Crowdfunding providers, Roles, Obligations, Licensing & registration, Business
    Type
    Page

  7. 20 January 2023

    Bonds

    When you buy a bond, you’re lending money to a bond issuer - usually a government, council or company - for a set period of time (the term). The term is fixed by the issuer and can range between one and 30 years. They’re often known as ‘fixed interest’ investments. Learn more about the different types of bonds and understand their returns, risks and costs here.
    Tags
    Bonds, Ways to invest, Investing, Consumer
    Type
    Page

  8. 22 May 2019

    Audit Quality Perceptions Research

    The overall aim of this research is to inform FMA of public and industry perceptions of the audit quality in NZ and enable them to target work to increase understanding of the auditor’s role, strengthen perceived value of that role, along with knowledge of the FMA’s role of oversight and regulation of auditors.
    Tags
    Auditors, Roles, Reports and Papers, Business
    Type
    Page, Research

  9. 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

  10. 29 August 2023

    Investing

    We all invest for the same reason – to grow our money. In this section of the FMA website we provide you with the fundamentals of managing your investments to meet your risk profile and goals.
    Tags
    Investing, Consumer
    Type
    Page

  11. 6 May 2010

    Stock & Share Trading Company Pty Limited

    FMA cautioned investors to be wary of unsolicited offers being made by Stock & Share Trading Company Pty Limited for shares and other securities. Stock & Share's offers are often significantly less than the market value of the securities. Read more.
    Tags
    Type
    Page

  12. 29 June 2023

    Tiger Brokers to pay $900,000 penalty for multiple AML/CFT Act breaches

    The Auckland High Court has ordered Tiger Brokers (NZ) Limited to pay $900,000 for breaching the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act), in proceedings brought by the FMA.
    Tags
    Media release, AML/CFT, Enforceable action, Judgment, Roles, Business, News & Insights, Enforcement
    Type
    Page

  14. 4 March 2020

    Cash investments

    Cash investments include savings accounts and term deposits with a bank, credit union or building society. You can also invest cash through a managed fund (this includes KiwiSaver) which pools together money from individuals for investments, managed by a fund manager. Cash investments are relatively safe because you’re promised a fixed interest rate. But the returns you get through interest rates tend to be low, so they’re not always the best option – particularly if you’re saving for retirement. Find out more about the risks, returns and costs associated with investing in cash here.
    Tags
    Cash investments, Ways to invest, Investing, Consumer
    Type
    Page

  15. 1 February 2014

    Broker Obligations guidance note

    The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.
    Tags
    Obligations, Client money or property services provider, Roles, Business
    Type
    PDF, Guidance