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  1. 15 March 2021

    Understanding the risks

    Online investing platforms enable you to trade shares and other financial products online. Take a look at risks that come with using and investing with an online investment platform.
    Tags
    Online investing platforms, Ways to invest, Investing, Consumer
    Type
    Page

  2. 17 October 2016

    Tall Options

    Tall Options and Corporate Enterprises PTY Limited are not registered on the FSPR and therefore they are not allowed to offer financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  4. 22 December 2010

    New Conditions for Qualifying Financial Entities

    The Securities Commission has published the standard conditions Qualifying Financial Entities (QFEs) will need to abide by when their employees and representatives give financial advice.
    Tags
    Media release, News & Insights
    Type
    Page

  5. 1 April 2014

    FMA's new role as regulator of conduct

    FMA's new role as regulator of conduct information sheet talks to the FMA replacing the Commerce Commission as the primary regulator of conduct in relation to financial products and services from 1 April 2014.
    Tags
    FMC Act, Legislation, Business, FMA
    Type
    Page, Guidance

  6. 9 August 2018

    FMA sets out its work plan for the year ahead

    The FMA has released its annual corporate plan as the conduct and culture of New Zealand’s financial services industry comes under greater scrutiny.
    Tags
    Media release, Governance, FMA, News & Insights
    Type
    Page

  7. 10 May 2016

    Management bans and undertakings of non-participation

    Listed below are individuals who are precluded from engaging in certain activities in respect of the governance and/or management of companies as a consequence of action taken by the FMA.
    Tags
    Enforceable action, Enforceable undertaking, Powers, Enforcement
    Type
    Page

  8. 10 May 2016

    Management bans and undertakings of non-participation

    Listed below are individuals who are precluded from engaging in certain activities in respect of the governance and/or management of companies as a consequence of action taken by the FMA.
    Tags
    Enforceable action, Enforceable undertaking, Powers, Enforcement
    Type
    Page

  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

  14. 15 March 2021

    Start to new licensing regime for financial advice

    The Financial markets Authority (FMA) welcomes the start of the new financial advice regime from 15 March 2021. Under the new regime, anyone who gives regulated financial advice to retail clients must either hold, or operate under, a Financial Advice Provider licence. All providers of financial advice are now subject to the same obligation to place the interests of their clients first and must adhere to a new Code of Conduct.
    Tags
    Licensing & registration, Financial Services Legislation Amendment Act (FSLAA), Media release, Business
    Type
    Page

  15. 15 August 2019

    Consultation New financial advice regime exemptions

    This consultation is for any person giving regulated financial advice or providing client money or property services, and
    their advisers and interested parties. It seeks feedback on proposed exemption support for the new financial advice regime.
    Tags
    New Financial Advice regime, Authorised body under a FAP, Client money or property services provider, Financial Advice Provider, Consultations, Roles, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    PDF