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Found 1631 results. Displaying page 3 of 109

2 February 2017

FMAs view of conduct guidance

This guidance note is for: directors and executives of licensed
financial services providers. The guide was published in 2017.

Tags

Financial Advice Provider, Conduct, Roles, Business

Type

PDF
1 November 2018

Bank Conduct and Culture Review

Findings from the 2018 FMA and RBNZ review of conduct and culture in New Zealand retail banks. The overall objective of this review was to understand whether there are widespread conduct and culture issues present in banks in New Zealand.

Tags

Banking, Conduct, Business

Type

PDF, Report
2 February 2017

A guide to the FMA's view of conduct

A guide to FMA's view of conduct guide describes why good conduct matters and how high standards of conduct support fair, efficient and transparent markets. This handbook is intended as a reference for directors, executives and advisers to decide how best to apply the principles for corporate governance to their particular entity.

Tags

Derivative Issuer, Conduct, Independent trustee, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Cryptocurrencies, Crowdfunding providers, Authorised body under a FAP, Auditors, Roles, Financial Adviser, Directors, Client money or property services provider, Business, Interposed persons under new financial advice regime, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives

Type

Page, Guidance
30 May 2018

Compliance assurance programmes information sheet

The 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

FMC Act, Obligations, Legislation, Business

Type

PDF, Information Sheet
19 November 2015

Financial Markets Conduct Regulations amended

While the Financial Markets Conduct Regulations 2014 (FMC Regulations) covered the detail necessary for the Financial Markets Conduct Act 2013 (FMC Act) to come into force on 1 December 2014, the size and complexity of the reforms meant the Government needed to defer some non-urgent matters.

Tags

Regulation updates, FMC Act, Legislation, Business

Type

Page
24 April 2020

Conduct expectations in response to COVID-19

Conduct expectations in response to COVID-19. The FMA and other members of the Council of Financial Regulators (CoFR) are continuing to closely monitor the impact of COVID-19 on New Zealand’s financial system.

Tags

Client money or property services provider, COVID-19, Cryptocurrencies, Derivatives, Financial Adviser, Independent trustee, Market operator, Roles, Ways to invest, Investing, Business, Consumer, News & Insights

Type

Page
29 January 2019

Life Insurer Conduct and Culture 2019

Findings from an FMA and RBNZ review of conduct and culture in New Zealand life insurers.

Tags

Reports and Papers, Financial Advice Provider, Roles, Business, News & Insights

Type

PDF
1 April 2014

FMA's new role as regulator of conduct

FMA's new role as regulator of conduct information sheet talks to the FMA replacing the Commerce Commission as the primary regulator of conduct in relation to financial products and services from 1 April 2014.

Tags

FMC Act, Legislation, Business, FMA

Type

Page, Guidance
2 February 2017

Submissions Report Conduct Guide consultation

This is a summary of the submissions received by the FMA in response to the consultation of draft guide to the FMA's view of conduct, 2017.

Tags

Conduct, Consultations, Business

Type

PDF, Submission form
28 September 2018

Consumer views of financial providers' conduct

The aim of the research is to help the FMA understand consumer experience of the conduct of (and communications) from financial service providers.

Tags

Authorised body under a FAP, Directors, Offer disclosure for equity and debt offers, Roles, Reports and Papers, Conduct, Financial Institutions, Business, Managed investment schemes, News & Insights

Type

Page, Research
1 September 2018

Consumer Views of Financial Providers’ Conduct

The FMA commissioned Buzz Channel to conduct research among New Zealanders to understand their experience with financial services providers.

Tags

Reports and Papers, Financial Advice Provider, Roles, Business, News & Insights

Type

PDF
15 November 2018

Bank Conduct and Culture Report 2018

The FMA and the RBNZ commissioned Buzz Channel to conduct an online survey among New Zealanders to understand their experience of the conduct and culture of the main bank they use for their personal banking. This is the report.

Tags

Reports and Papers, Banking, Business, News & Insights

Type

PDF, Surveys
5 November 2018

Bank Conduct and Culture Consumer Survey

The FMA and the RBNZ commissioned Buzz Channel to conduct an online survey among New Zealanders to understand their experience of the conduct and culture of the main bank they use for their personal banking.

Tags

Directors, Financial Advice Provider, Conduct, Roles, Banking, Business

Type

Page, Surveys, Research
28 July 2016

FMA releases conduct guide for feedback

FMA has released a guide to how it will examine whether financial services providers are demonstrating good conduct under the Financial Markets Conduct Act (FMC Act).

Tags

Conduct, Media release, Business, News & Insights

Type

Page
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