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  1. 1 September 2013

    Superannuation Schemes Report 2013

    This report has been prepared in accordance with section 28 of the Act and details the principal matters transacted under the Act for the year ended 30 June 2013.
    This report is solely in respect of registered superannuation schemes and does not include any KiwiSaver scheme data. There is a separate report prepared for KiwiSaver schemes in respect of the year ended 30 June 2013.
    Tags
    Reports and Papers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF, Report

  2. 30 June 2023

    Media releases

    The FMA issues media releases on a regular basis to keep the market informed of latest news. See a full list of media releases on this page.
    Tags
    Media release, News & Insights
    Type
    Page

  3. 7 July 2023

    Alvarium Wealth (NZ) Limited

    Alvarium Wealth (NZ) Limited, FSP20861 are licenced by the FMA as a Managed Investment Scheme Manager (MIS).
    Tags
    Reporting entities, Business
    Type
    Page

  4. 1 December 2013

    1st Equity Group Limited

    1st Equity Group Limited made False/misleading advertising. ASSOCIATED PERSON: Gier Holstad
    Tags
    Suspected scam, Scams
    Type
    Page

  5. 1 December 2013

    DCW Limited

    DCW Limited (website: www.dcwlimited.com) has False/misleading advertising. ASSOCIATED PERSON: Justin Lane
    Tags
    Suspected scam, Scams
    Type
    Page

  6. 12 July 2023

    Consultations

    Consultations are an important part of the FMA policy-development process. The process is designed to encourage quality engagement from interested businesses and individuals. See a list of our consultation papers on this page.
    Tags
    Regulation, Consultations, Business
    Type
    Page

  7. 26 September 2019

    Circleforex and Yuanhui

    The FMA recommends exercising caution before dealing with www.circleforex.com as this website claims to be associated with FSP476086 in New Zealand which is incorrect.
    Tags
    Suspected scam, Scams
    Type
    Page

  8. 10 November 2014

    Gentrack IPO Report

    This report describes our conclusions following a review of matters arising out of Gentrack’s initial public offering (IPO) of shares and its disclosure at the time of the IPO.
    Tags
    Offer information, Roles, Reports and Papers, Business, Market operator
    Type
    Page, Report

  9. 1 September 2014

    Governance under Part 4 of the FMC Act guidance

    This guidance note is for Issuers of debt securities, managers of investment schemes and their supervisors. It gives guidance on the expectations of the FMA on your approach to governance and accountability responsibilities that apply to Part 4 of the FMC Act 2015.
    Tags
    Governance, Offer disclosure for equity and debt offers, Roles, Business, FMA, Managed investment schemes, Supervisor
    Type
    PDF, Guidance

  10. 1 July 2021

    AML/CFT Regulation 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.
    Tags
    AML/CFT, Directors, Regulation updates, Roles, Business
    Type
    PDF, Guidance

  11. 26 July 2019

    Guidance for foreign passport fund operators

    This guide is for foreign passport fund operators wanting to offer interests in regulated collective investment schemes (CIS) in New Zealand under the Asia Region Funds Passport regime.
    Tags
    Managed funds, FMC Act, Ways to invest, Investing, Legislation, Business, Consumer
    Type
    PDF, Guidance

  12. 13 April 2021

    Managed fund fees and value for money - guidance

    Guidance and principles to help managers and supervisors of KiwiSaver schemes and other managed investment schemes to demonstrate how they are meeting their existing obligations, statutory duties, and conduct expectations in respect of fees and value for money. Published in April 2021.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Guidance

  13. 30 June 2015

    User Guide: Annual AML/CFT Report

    The annual report is required by section 60 of New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘the Act’). The annual report applies to
    activities that are covered by the Act.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Report

  14. 12 August 2015

    Expectations for and experiences of retirement - research report

    This survey looks at older New Zealanders’ expectations for and experiences of retirement. Research was conducted among those aged 50 years and over, and includes the views of those who are nearing retirement and those who have already retired. The results of the survey were published in 2015.
    Tags
    Roles, Business, Managed investment schemes
    Type
    PDF, Research

  15. 7 June 2018

    Auditor regulation and oversight plan 2018-2021

    FMA has an obligation to publish an auditor regulation and oversight plan by 30 June each year, for a three year period, setting out our intentions for the regulation and oversight of auditors under the Act. This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. It may also be of interest to issuers, investors and their advisers.
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF