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  1. 3 February 2014

    Guidance Note: Broker Obligations

    This guidance is aimed at improving compliance with broker conduct obligations and trust accounting obligations in Part 3A of the Act, by setting out how FMA interprets and applies certain parts of Part 3A. The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.
    Tags
    Type
    Page, Guidance

  2. 15 February 2023

    FMA issues interim stop order to Validus and its associated persons

    The Financial Markets Authority has issued an Interim Stop Order (Order) to Validus and Associates (registered in Delaware, USA) pursuant to section 465 of the Financial Markets Conduct Act 2013 (the Act).
    Tags
    Media release, Enforceable Undertaking, News & Insights, Enforcement
    Type
    Page

  3. 17 December 2015

    Consultation paper: Forestry scheme issues and exemptions proposals

    Consultation paper: Forestry scheme issues and exemptions proposals. We are considering possible exemptions to address some issues faced by forestry schemes in complying with the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Consultations, Roles, Business, FMA, Managed investment schemes
    Type
    Page

  4. 16 July 2018

    Guidance on the exemption from the market index requirement

    Guidance on the exemption from the market index requirement aims to clarify what we expect of MIS managers in relation to the market index requirement for quarterly fund updates, and the Financial Markets Conduct (Market Index) Exemption Notice 2018.
    Tags
    Directors, Offer disclosure for equity and debt offers, Roles, Business, Market operator
    Type
    Page, Guidance

  5. 1 December 2016

    IMF 2016 review of NZ

    International Monetary Fund (IMF) visited New Zealand to conduct a Financial Sector Assessment Program (FSAP) of this country’s financial system. The goal of FSAP assessments is to gauge the stability of the country’s financial sector, to identify any potential sources of systemic risk and to assess its potential contribution to growth and development. Read more.
    Tags
    Reports and Papers, Financial market infrastructures, Roles, Business, News & Insights, Market operator
    Type
    Page, Report

  6. 26 June 2023

    FMA publishes final guidance for the intermediated distribution of financial products

    The FMA today published its final guidance for financial institutions that distribute products and services through intermediaries as part of the Conduct of Financial Institutions (CoFI) regime.
    Tags
    Media release, Banking, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Roles, Business, News & Insights, Supervisor
    Type
    Page, Guidance

  7. 26 June 2023

    CoFI intermediated distribution

    This guidance outlines our expectations when financial institutions are distributing products and services through intermediated channels under the Conduct of Financial Institutions (CoFI) regime.
    Tags
    Banking, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Roles, Conduct, Business, News & Insights, Supervisor
    Type
    Page, Guidance

  9. 2 August 2023

    Class legislative notices summary

    This is a periodical summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.

    Tags
    Regulation updates, Designations, FMC Act, Legislation, Business
    Type
    Page

  10. 27 March 2019

    PCC decision - Richard Owen Dey and Michael Derek Wood

    The Professional Conduct Committee of the Chartered Accountants Australia New Zealand (CA ANZ) has published its findings in relation to Richard Owen Dey and Michael Derek Wood. Read more.
    Tags
    Auditors, Enforceable action, Roles, Reports and Papers, Business, News & Insights, Enforcement
    Type
    Page

  11. 11 October 2017

    Bank Bill Benchmark Rate and closing rates guidance note

    Bank Bill Benchmark Rate and closing rates guidance note clarifies the FMA’s expectations about the trading conduct and controls for firms participating in the trading that sets BKBM and closing rates in the New Zealand market.
    Tags
    Roles, Business, Market operator
    Type
    Page, Guidance

  12. 14 May 2018

    AML/CFT risk assessment guideline

    The AML/CFT risk assessment guideline was updated in 2018 and is designed to help reporting entities conduct a risk assessment, as required under section 58 of the Anti-Money Laundering and Countering Financing of Terrorism Act.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  13. 30 May 2018

    Compliance Assurance Programmes

    The Compliance Assurance Programmes information sheet is for entities holding or applying for a licence under the Financial Markets Conduct Act 2013, and anyone involved in the creation, implementation and ongoing operation of a compliance assurance programme.
    Tags
    Crowdfunding providers, Directors, Cryptocurrencies, Roles, Legislation, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Peer-to-peer lending service providers
    Type
    Page, Guidance

  14. 24 February 2015

    Custodians of managed investment schemes

    Custodians of managed investment schemes information sheet outline the duties and responsibilities under the Financial Markets Conduct Act 2013 (FMC Act) for custodians of registered managed investment schemes.
    Tags
    Client money or property services provider, Roles, Business
    Type
    Page, Guidance

  15. 23 June 2022

    Cyber security and operational systems resilience

    This information sheet assists market services licensees (excluding benchmark administrators) licensed under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) to enhance the resilience of their cyber and operational systems. While this information sheet is designed to apply to a broad range of sectors, entities with complex cyber security and operational systems should consider the specific technology requirements and obligations that apply to their sector.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance