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  8. 30 July 2014

    Expense disclosure CE gifts 2014 jan feb

    CE gift and hospitality disclosure for the period 1 January 2014 - 30 June 2014
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  9. 30 April 2020

    Insurer COVID 19 Expectations

    Letter from the Director of Banking and Insurance, FMA to stakeholders detailing the FMA expectation during COVID-19
    Tags
    Financial Advice Provider, Banking, Roles, Business
    Type
    PDF, Letter

  12. 12 July 2022

    Self assessment tool complaints handling

    Use this self-assessment tool to see if you’re ready to complete the complaints handling section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Roles, Business
    Type
    PDF

  15. 30 August 2014

    Creation of new unit trusts during transition period information sheet 2014

    This information sheet responds to queries by market participants about the ability to create new unit trust schemes under the Unit Trusts Act 1960 between 1 December 2014 and 30 November 2015. FMA’s opinion is that persons creating unit trusts between 1 December 2014 and 1 December 2015 can choose between regimes.
    Tags
    Managed investment schemes, Roles, Business
    Type
    PDF