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Found 2001 results. Displaying page 86 of 134

  1. 1 September 2014

    Governance under part 4 of the FMC Act

    Governance under part 4 of the FMC Act guidance note is for issuers of debt securities, managers of managed investment schemes and their supervisors. It gives guidance on the expectations FMA has for your approach to the governance responsibilities and accountabilities that apply under Part 4 of the Financial Markets Conduct Act 2013.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  2. 1 November 2014

    Financial regulation and registration requirements for marinas

    Financial regulation and registration requirements for marinas information sheet provides information on how the Financial Markets Conduct Act 2013 (FMC Act) changes the way interests in marinas are regulated. Marinas will generally not be regulated under the FMC Act and will no longer need to register on the Financial Service Providers Register.
    Tags
    Regulation updates, Business
    Type
    Page, Guidance

  3. 17 June 2020

    FMA KiwiSaver tracker updated, showing part of COVID-19 impact

    The FMA’s online KiwiSaver tracker tool has been updated with the quarterly fund information for March 2020, reflecting the volatility that hit markets in the first quarter of the year. View the latest data in the FMA KiwiSaver tracker tool here.
    Tags
    Media release, KiwiSaver & Superannuation, Consumer, News & Insights
    Type
    Page

  4. 2 February 2017

    Consultation paper: A guide to the FMA's view of conduct

    Consultation paper: A guide to the FMA's view of conduct. We are seeking feedback on our conduct guide. The guide details how we will examine whether financial service providers are demonstrating good conduct under the Financial Markets Conduct Act (FMC Act).
    Tags
    Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Financial Advice Provider, Financial Adviser, Conduct, Consultations, Roles, Business, Interposed persons under new financial advice regime, FMA, Peer-to-peer lending service providers, Supervisor
    Type
    Page

  5. 13 April 2021

    FMA provides breakdown of financial advice providers in the new regime

    The Financial Markets Authority (FMA) has provided transitional licence numbers under the new financial advice regime, revealing how many financial advice providers are operating in New Zealand. It follows the start of the new financial advice regime last month.
    Tags
    New Financial Advice regime, Media release, Financial Advice Provider, Financial Services Legislation Amendment Act (FSLAA), Roles, Business, News & Insights
    Type
    Page

  6. 1 June 2023

    FMA files proceedings against Medical Assurance Society over fair dealing provision breaches

    FMA has filed High Court proceedings against Medical Assurance Society New Zealand Limited (MAS) and its subsidiaries for fair dealing breaches under section 22 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Fair dealing, Media release, Cases, Enforceable undertaking, Powers, Insurance Providers, Business, News & Insights, Enforcement
    Type
    Page

  8. 13 June 2016

    FMA releases Auditor regulation and oversight plan

    The FMA has released its auditor regulation and oversight plan for 2016. The FMA’s plan sets out the new style of audit report issued by the External Reporting Board, intended to provide better information to investors.
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page

  9. 7 April 2022

    FMA issues new infringement notice against crowdfunding platform Equitise

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has issued another infringement notice to Equitise Pty Ltd for failing to file financial statements on time, amid broader concerns about the firm’s ability to meet regulatory reporting deadlines.
    Tags
    Crowdfunding providers, Enforceable action, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page

  10. 2 October 2015

    The FMA publishes first annual report under the new regulatory regime

    The Financial Markets Authority (FMA) chief executive Rob Everett has told a trans-Tasman audience that it will be four to five years before New Zealand sees the full economic and business benefits of the new financial services regulatory regime.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  11. 10 December 2020

    Providing overseas firms’ research reports to retail clients

    Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 (FMC Act) from 15 March 2021.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance

  12. 1 February 2015

    Reporting SIPO limit breaks

    Reporting SIPO limit breaks information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  13. 18 June 2014

    Quick guide to licence applications for small businesses providing DIMS

    Quick guide to licence applications for small businesses providing DIMS supplements our main licensing application guide. It outlines how a small business providing lower risk Discretionary Investment Management Services (DIMS) can approach an application for a DIMS licence under the Financial Markets Conduct Act 2013 (FMC Act)..
    Tags
    Discretionary investment management scheme (DIMS), Licensing & registration, Roles, Business
    Type
    Page, Guidance

  14. 1 October 2014

    Reporting duties under Part 4 of the FMC Act

    Reporting duties under Part 4 of the FMC Act 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, Offer disclosure for equity and debt offers, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Financial reporting, Guidance

  15. 1 May 2014

    New governance and accountability framework for restricted schemes and their trustees

    The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for restricted schemes and their trustees in the New governance and accountability framework for restricted schemes and their trustees information sheet.
    Tags
    Independent trustee, Roles, Offer information, Offers of financial products, Business
    Type
    Page, Guidance