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  2. 28 February 2023

    Deciding how to invest

    Deciding how you wish to invest? Read about the three most important things to consider before you invest: risk, return and cost.
    Tags
    Investing, Consumer
    Type
    Page

  3. 5 April 2024

    Authorised body under a financial advice provider licence

    An authorised body is an entity (eg company or partnership) named on a Financial Advice Provider licence. A licensed FAP must agree to an authorised body operating under its licence. The authorised body must be named on the financial advice provider’s transitional licence application, and the licensed FAP will be required to provide information about the authorised body when it applies for its licence.
    Individuals cannot be authorised bodies under a FAP licence and individual financial advice provider licence holders cannot engage authorised bodies under their licences.
    Find out more about registration, costs, ongoing obligations, duties, standard consitions, general reporting conditions, code of professional conduct, competency safe harbour, and liability and enforcement on this page.
    Tags
    Compliance, New Financial Advice regime, Authorised body under a FAP, Obligations, Licensing & registration, Roles, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    Page

  5. 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

  6. 29 August 2023

    FAQs

    This page frequently asked questions about Offers of financial products including: due diligence; kinds of financial offers; Product Disclosure statements (PDS); dual language PDS exemptions; equity offer financial information; debt offers financial information; schedule 1 offers; offers under employee share purchase schemes; small offers and offers of financial products of same class as quoted financial products.
    Tags
    Offer information, Business
    Type
    Page

  8. 1 May 2013

    E1 Asset Management, Inc.

    E1 Asset Management is not registered or authorised in NZ to offer share broking and financial adviser services.
    Tags
    International regulator alerts, Scams
    Type
    Page

  9. 1 October 2020

    Liam Mason speaking at the Financial Markets Law Conference

    Liam Mason, FMA's Director of regulation speaks at the Financial Markets Law Conference 2020.
    Tags
    COVID-19, Financial Adviser, New Financial Advice regime, Roles, Speeches and presentations , Business, News & Insights
    Type
    Page

  10. 27 March 2014

    Unsolicited Offers Monitoring Report

    In this report we set out our findings and observations based on our monitoring activities on 14 February 2014.
    Tags
    Compliance, Monitoring, Offer disclosure for equity and debt offers, Roles, Reports and Papers, Business, Market operator
    Type
    Page, Report

  12. 6 October 2023

    9XProfits – Suspected scam

    We recommend caution when dealing with 9XProfits and its website.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  13. 27 January 2022

    FMA publishes 2021 annual report

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko - has today published its annual report for the year to June 2021.
    Tags
    Media release, News & Insights
    Type
    Page, Annual report, Corporate publications

  14. 27 August 2015

    FMA encourages people to get their KiwiSaver fighting fit during Money Week

    The FMA has launched its plans for Money Week 2015. This year the FMA wants people to complete an online health check of their KiwiSaver by answering five simple questions to make sure they are tuned in to their KiwiSaver investment.
    Tags
    KiwiSaver & Superannuation, Media release, Campaigns, Consumer, News & Insights
    Type
    Page

  15. 16 March 2021

    FMA Board announces Chief Executive will leave at end of 2021

    The Financial Markets Authority (FMA) Board today announced that Chief Executive Rob Everett had resigned and would leave the organisation towards the end of the year.
    Tags
    FMA executive team, Media release, FMA, News & Insights
    Type
    Page