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  1. 8 April 2024

    Discretionary Investment Management Service (DIMS)

    To provide discretionary investment management services (DIMS) under the FMC Act you must hold a DIMS market services licence issued under the FMA Act. Find out more about the licensing, fees associated with licensing, compliance obligations and exemptions available to this role in New Zealand.
    Tags
    Compliance, Discretionary investment management scheme (DIMS), Obligations, Licensing & registration, Roles, Business
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  3. 5 October 2022

    Ethical finance

    The FMA supports ethical finance and New Zealand’s transition to an integrated financial system – one that looks beyond financial returns to also consider non-financial factors. Read more about our role in an integrated financial system on this page.
    Tags
    Ethical finance, Climate related disclosure, Business
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  4. 14 March 2023

    Consultation: Proposed exemptions for foreign listed issuers from climate reporting duties

    The FMA is seeking feedback on the need for, and the content of, proposed exemptions for foreign exempt issuers from climate reporting duties by 5PM, 17 April 2023.
    Tags
    Consultations, Climate related disclosure, Ethical finance, Authorised body under a FAP, Discretionary investment management scheme (DIMS), Financial Institutions, Roles, Business
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  5. 21 July 2023

    Forestlands and director Rowan Charles Kearns

    Rowan Kearns, the founder and sole director of the Forestlands group of companies, was sentenced yesterday to four months’ community detention and 100 hours’ community work with a 9pm – 7am curfew.
    Tags
    Court – criminal, Powers, Enforcement
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  6. 22 January 2024

    Independent trustees

    You'll need a licence if you are appointed as an independent trustee of a restricted KiwiSaver scheme or a workplace superannuation or legacy scheme. Every restricted managed investment scheme must have at least one licensed independent trustee. See more about the licensing and registration and compliance obligations of independent trustees on this page.
    Tags
    Compliance, Independent trustee, Roles, Obligations, Licensing & registration, Business
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  7. 30 June 2023

    Offers under the FMC Act

    Anyone offering financial products for issue or sale needs to comply with financial markets legislation. The Financial Markets Conduct Act 2013 (FMC Act) defines these people as issuers. See more on how they are defined and other disclosure requirements.
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  8. 30 June 2023

    Offers under the FMC Act

    Anyone offering financial products for issue or sale needs to comply with financial markets legislation. The Financial Markets Conduct Act 2013 (FMC Act) defines these people as issuers. See more on how they are defined and other disclosure requirements.
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    Type
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  11. 11 April 2024

    Financial adviser

    To use the term Financial Adviser from the start of the new financial advice regime, you must be registered on the Financial Service Providers Register (FSPR) and engaged by a licensed financial advice provider (FAP) (or authorised body).　
    Find out more about licensing, your ongoing obligations and duties and complying with the new Code of Professional Conduct; liabilities and enforcement and frequently asked questions on this page.
    Tags
    New Financial Advice regime, Compliance, Financial Adviser, FSPR, Obligations, Licensing & registration, Roles, Business
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  12. 5 September 2013

    Joint investigation results in charges for Strategic Planning Group

    Following a joint investigation into the activities of Auckland based company Strategic Planning Group Limited (SPG), the SFO and FMA have laid charges against former financial adviser Andrew Hrothgar Robinson. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
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  13. 14 March 2023

    Client money or property services provider

    A 'custodial service' is provided if client money or client property is held by a person in trust for, or on behalf of, a client (or another person nominated by the client) under an agreement. On this page you will find out more about custodial services or client property service providers; licensing and registration requirements; obligations and exemptions.
    Tags
    Compliance, New Financial Advice regime, Client money or property services provider, Obligations, Licensing & registration, Roles, Business
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  15. 20 June 2023

    Focus areas

    The FMA uses a range of tools to support the functioning of financial markets and services, and compliance with legislation. This section contains information about conduct regulation, ethical finance, climate related disclosures, innovation in financial markets, AML/CFT and consultations. 
    Tags
    AML/CFT, Offer information, Consultations, Exemptions, Roles, Conduct, Designations, Ethical finance, Business, FMA
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