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  1. 10 December 2015

    Getting over the barriers to financial advice

    The survey has uncovered some of the main reasons New Zealanders shy away from seeking financial advice, even when they know it might help them.
    Tags
    Financial Advice Provider, Media release, Roles, Business, News & Insights
    Type
    Page

  2. 30 October 2014

    Reporting duties under Part 4 of the FMC Act

    This information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.
    Tags
    Client money or property services provider, Roles, Auditors, Offer disclosure for equity and debt offers, Business, Managed investment schemes, Supervisor
    Type
    PDF, Information Sheet

  3. 1 October 2014

    Reporting duties under Part 4 of the FMC Act Information Sheet and Table

    This information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.
    Tags
    Auditors, Roles, Offer disclosure for equity and debt offers, Business, Managed investment schemes, Supervisor
    Type
    PDF, Information Sheet

  4. 12 July 2023

    Consultation paper Proposed standard condition on business continuity and technology systems

    Consultation on a proposed new business continuity and technology systems standard condition for managers of registered schemes (but not restricted schemes), DIMS providers, derivatives issuers, peer-to-peer lending providers and crowdfunding service providers.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Consultations, Peer to peer lending provider, Roles, Business, Managed investment schemes
    Type
    PDF

  6. 15 November 2018

    Bank Conduct and Culture Report 2018

    The FMA and the RBNZ commissioned Buzz Channel to conduct an online survey among New Zealanders to understand their experience of the conduct and culture of the main bank they use for their personal banking. This is the report.
    Tags
    Reports and Papers, Banking, Business, News & Insights
    Type
    PDF, Surveys

  8. 12 September 2011

    FMA announces its Enforcement Policy

    The Financial Markets Authority (FMA) has published its Enforcement Policy to assist financial markets participants to have a clearer understanding of FMA's role, functions and priorities.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  9. 25 June 2010

    Financial Advisers Urged to Get Ready for Regulation

    The Commissioner for Financial Advisers, David Mayhew, has urged advisers to get ready for the new regulatory regime. He also updated the Securities Commission's financial adviser implementation timetable.
    Tags
    Media release, News & Insights
    Type
    Page

  10. 5 October 2016

    FMA 2016 KiwiSaver report shows growth in members and funds slowing

    Total money in KiwiSaver funds continues to grow, but at a much slower pace than the previous two years as both returns and numbers of new members decline.
    Tags
    KiwiSaver providers, Media release, Managed investment schemes, Roles, Business, News & Insights
    Type
    Page

  11. 24 January 2023

    FMA publishes 2022 annual report

    Our 2022 annual report details a year that encompassed four main areas of focus for the regulator: monitoring and oversight of financial market participants; preparations for new financial markets legislation; building investor capability; and enforcement activity.
    Tags
    Media release, News & Insights
    Type
    Page, Annual report, Corporate publications

  12. 1 July 2020

    Registering correctly on the FSPR

    The new financial advice regime requires you to update your details on the public register of financial service providers (FSPR). This register is located on the Companies Office website. How you update your registration on the FSPR will depend on how you plan to operate in the new regime. This fact-sheet explains what you need to know.
    Tags
    New Financial Advice regime, Client money or property services provider, Roles, Financial Advice Provider, FSPR, Licensing & registration, Business
    Type
    PDF, Information Sheet

  13. 1 December 2014

    Consultation Fund update template and guidance for calculating risk indicators

    This paper is for market participants that manage funds and for their supervisors and investors. It explains how we propose to use two of the tools available to the FMA under the Financial Markets Conduct Act 2013 (FMC Act) and the Financial Markets Conduct Regulations 2014 (Regulations) to support the new offers regime for managed funds. We are consulting on a proposed ‘frameworks or methodologies’ (FM) template for fund updates and new guidance for calculating risk indicators.
    Tags
    Consultations, Roles, Business, Managed investment schemes
    Type
    PDF

  14. 21 August 2019

    Dang Kang International Group

    The FMA recommends exercising caution when dealing with Dang Kang International Group as it is not registered, licensed, or regulated in New Zeland as claimed on its websites and could be involved in a scam.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  15. 24 May 2017

    Licensing overview: what the FMA found and what firms need to know

    Common issues, hints for new applicants and a guide to the Financial Markets Authority’s (FMA) future focus are included in a review of the regulator’s first two and a half years of licensing.
    Tags
    Licensing & registration, Media release, Business, News & Insights
    Type
    Page