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  3. 17 November 2021

    New self-assessment tools aim to boost success of financial advice providers

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has released three new self-assessment tools to help financial advice providers (FAPs) prepare for full licensing.
    Tags
    Financial Advice Provider, Roles, Media release, Financial Services Legislation Amendment Act (FSLAA), Business, News & Insights
    Type
    Page

  5. 17 November 2015

    Consultation paper: Proposed variations to standard conditions of market services licences

    Consultation paper: Proposed variations to standard conditions of market services licences. This seeks to gather views on proposed variations to the standard conditions for Financial Markets Conduct Act 2013 (FMC Act) licences
    Tags
    Roles, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Consultations, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Financial reporting

  6. 13 December 2021

    Squirrel P2P Trustee Limited

    FMA formally warned Squirrel P2P Trustee Limited for failing to carry out certain obligations as a custodian. The entity provides a custodial service for the peer-to-peer lending service of Squirrel Money Limited.
    Tags
    Formal warning, Powers, Enforcement
    Type
    Page

  8. 15 May 2023

    Citi Prospectus Scams

    FMA are concerned that a scam operation is targeting New Zealand residents and offering investment in term deposits in the name of Citi N.A.
    Tags
    Suspected scam, Scams
    Type
    Page

  9. 24 March 2020

    FMA COVID-19 Update 24 March 2020

    Update 24 March 2020: Financial advice is not covered by the definition from the Government of workplaces/offices that need to remain open but it clearly remains an important service.
    Tags
    COVID-19, New Financial Advice regime, Financial Adviser, Roles, Business, News & Insights
    Type
    Page

  10. 23 March 2020

    FMA COVID-19 Update 23 March 2020

    Update 23 March 2020: The Government has confirmed that financial services are essential services that need to continue to operate when New Zealand moves to Level 4 in its COVID-19 response.
    Tags
    COVID-19, Directors, Roles, Business, News & Insights
    Type
    Page

  11. 28 February 2013

    FMA's Compliance Focus for 2013

    This document outlines the Financial Markets Authority’s (FMA’s) priority areas for monitoring and surveillance in 2013. It provides an opportunity for participants to assess their activities and take steps to improve behaviours and compliance controls in these areas.
    Tags
    Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Paper

  12. 6 April 2023

    Peer-to-peer and crowdfunding: sector snapshot

    This report is a 'snapshot' of peer-to-peer lending (P2P) and crowdfunding activity in New Zealand
    Tags
    Crowdfunding providers, Roles, Reports and Papers, Business, News & Insights, Peer-to-peer lending service providers
    Type
    Page, Report

  13. 17 May 2021

    Negative Interest Rate report

    The report is a summary of responses received from our survey of licensed financial services firms in September 2020 regarding their readiness for negative interest rates.
    Tags
    Reports and Papers, Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Roles, Banking, Financial Institutions, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
    Type
    Page

  15. 7 August 2017

    Consultation paper: Proposed exemption from the market index requirement

    Consultation paper: Proposed exemption from the market index requirement. he exemption applies to the manager of a fund that invests, in whole or in part, in assets that do not have an appropriate market index. Read more.
    Tags
    Consultations, Roles, Business, Market operator
    Type
    Page