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  1. 17 May 2024

    New AML/CFT regulations – joint statement by AML/CFT Supervisors on supervisory approach

    The Department of Internal Affairs, the Financial Markets Authority and the Reserve Bank of New Zealand (‘the Supervisors’) welcome the changes to AML/CFT requirements as a result of the various Amendment Regulations coming into force on 1 June 2024.
    Tags
    AML/CFT, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), News, Roles, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
    Type
    Page, Guidance

  2. 19 June 2024

    FMA and XRB issue user guides to help users of climate statements

    The Financial Markets Authority (FMA) and the External Reporting Board (XRB) – have jointly produced a set of guides designed to help people understand the Climate-related Disclosures (CRD) regime
    Tags
    Media release, Ethical investing, Business, Consumer, News & Insights
    Type
    Page

  3. 31 August 2022

    Disclaimer

    The Financial Markets Authority does not assume any responsibility for giving legal or other professional advice. If you require legal or expert advice you should seek assistance from a professional adviser.
    Tags
    Type
    Page

  4. 18 July 2018

    Customers not the focus of replacement business at large insurers

    The Financial Markets Authority (FMA) is considering regulatory action against three large financial institutions or qualifying financial entities (QFEs) following a review of insurance replacement business practices.
    Tags
    Insurance, Media release, Consumer, News & Insights
    Type
    Page

  5. 30 November 2022

    Consultation: Proposed standard conditions for financial institution licences

    Consultation on the FMA’s proposed standard conditions for financial institution licences, as part of the Financial Markets (Conduct of Institutions) Amendment Act 2022 (CoFI Act). and post consultation documents.
    Tags
    Banking, Consultations, Insurance Providers, Financial Institutions, Standard conditions, Conduct of Financial Institutions Bill (CoFI), Licensing & registration, Managed Investment Schemes, Roles, Business, Managed investment schemes
    Type
    Page

  6. 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

  7. 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

  9. 28 July 2022

    Integrated financial products: Review of managed fund documentation

    Findings from a Financial Markets Authority review of the effectiveness of disclosure information from a sample of managed investment funds labelled or marketed as being integrated financial products (e.g. sustainable, ethical, green)
    Tags
    Ethical finance, Roles, Reports and Papers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page

  10. 3 October 2023

    Compliance approach

    FMA takes a risk-based approach to our monitoring and surveillance activities, meaning we prioritise resources to those participants or practices that present the greatest risk to fair, efficient and transparent financial markets.
    Tags
    Compliance, Business
    Type
    Page

  11. 7 August 2014

    Brian Peter Henry

    At the Auckland High Court, Mr Henry admitted FMA allegations that he breached the market manipulation prohibitions in the Securities Markets Act 1988, and a pecuniary penalty of $130,000 was imposed by the Court.
    Tags
    Cases, Market manipulation, Enforcement
    Type
    Page

  12. 20 November 2014

    The FMA reports on its 12 month performance

    The Financial Markets Authority (FMA) has published its 2014 annual report for the year ended 30 June 2014. During this period the FMA began implementing the largest statutory change in financial services in 30 years. Engaging with the industry to implement the Financial Markets Conduct Act 2013(FMC Act) was one of six major achievements outlined in the report, as the FMA continued to deliver its ongoing regulatory responsibilities.
    Tags
    Media release, FMA, News & Insights
    Type
    Page, Financial reporting

  13. 13 December 2022

    Consultation paper: Review of the Small Co-operatives and Irrigation Companies Class Exemptions

    We are seeking feedback on two class exemption notices, being:
    the Financial Markets Conduct (Small Co-operatives) Exemption Notice 2021
    the Financial Markets Conduct (Irrigation Companies) Exemption Notice 2018.
    The notices provide small co-operative companies, industrial and provident societies, and irrigation companies with a lighter regulatory compliance pathway.
    Tags
    Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    Page, Consultation

  14. 7 July 2023

    Climate related disclosures implementation approach

    The Financial Sector (Climate-related Disclosures and Other Matters) Amendment Bill (CRD Bill) received Royal assent on 27 October 2021. This document briefly explains the Financial Sector (Climate-related Disclosures and Other Matters) Amendment Act 2021 (the CRD legislation) and outlines the Financial Markets Authority’s (FMA) implementation approach for the CRD regime over a period of approximately 4 years, through to 2025/26. It sets out the roles and responsibilities of the various government agencies, to help industry understand ‘who is doing what’ with regard to CRD.
    Tags
    Authorised body under a FAP, Client money or property services provider, Directors, Banking, Roles, Offer disclosure for equity and debt offers, Insurance Providers, Climate related disclosure, Financial Institutions, Climate Reporting Entities, Business, FMA
    Type
    PDF, Guidance

  15. 7 June 2017

    KiwiSaver annual statements methodology notice

    This notice comes into force on 2017 and applies to accounting periods of KiwiSaver schemes that commence on or after the commencement date of this notice. The notice sets out a methodology which managers of KiwiSaver schemes must comply with when calculating the approximate total sum of the fees paid by each of their scheme participants. This information (which must be expressed as a dollar amount) must be included in the confirmation information that KiwiSaver providers are required to provide to each scheme participant each year pursuant to the Financial Markets Conduct Act 2013 (Act).
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes
    Type
    PDF, Notice