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  1. 1 May 2018

    Investor Confidence Report 2018

    The FMA commissioned Buzz Channel to measure New Zealanders’ attitudes towards and confidence in New
    Zealand’s financial markets. This is the 2019 survey report.
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF, Surveys

  2. 30 August 2018

    Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice 2018

    The principal notice permits entities listed in Schedule 1 of the notice to provide personalised services to retail clients where those services are provided through a digital advice facility. This notice amends the principal notice to add Nikko Asset Management New Zealand Limited (Nikko Asset Management) to that list of entities.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  4. 15 November 2021

    Adler Acquisitions and Financial Services Inspectorate (Finansiell Tjänster Inspektorat)

    WARNING: The FMA received a complaint from a New Zealand resident who invested in shares with Adler Acquisition. Adler Acquisition issued the complainant a letter from Financial Services Inspectorate / Finansiell Tjänster Inspektorat, who purport to be a regulatory authority in Sweden, requesting the complainant make a payment to the regulator before the investor’s money can be released.
    Tags
    Fake regulator, Suspected scam, Consumer, Scams
    Type
    Page

  8. 16 June 2022

    Investor Confidence Report 2022

    The Investor confidence Research report 2022 measures attitudes towards and investment in New Zealand’s financial markets.
    Tags
    Reports and Papers, News & Insights
    Type
    PDF, Surveys

  9. 1 December 2020

    Exemption Notice - ICAP Brokers

    Financial Markets Conduct Exemption Notice 2020 - ICAP Brokers Pty Limited and ICAP New Zealand Limited.
    Tags
    Exemptions, Business
    Type
    PDF

  10. 28 January 2022

    Application Form - Supervisors Licence TRU1.1

    Application Form for Financial Markets Supervisors Licence
    (For a New Licence or to Replace an Expiring Licence) TRU1.1
    Tags
    Licensing & registration, Roles, Business, Supervisor
    Type
    PDF, Application form

  11. 1 February 2014

    Investor experience of IPOs - research report

    This document explores attitudes towards investing in New Zealand’s financial markets, understand the experience of investing in New Zealand’s financial markets, understand the
    impact of offer documentation on investment decisions, and additionally, this research aims to provide profiling information on New Zealand investors. February 2014
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF, Research

  12. 14 March 2011

    First QFEs Granted

    The first Qualifying Financial Entities (QFEs) licences have been granted signalling the next step in the implementation of the new financial advisers regulatory regime.
    Tags
    Media release, News & Insights
    Type
    Page

  13. 9 February 2021

    Choosing an online investing platform

    Online investing platforms enable you to trade shares and other financial products online. We give you things to think about when choosing an online investing platform
    Tags
    Online investing platforms, Ways to invest, Investing, Consumer
    Type
    Page

  14. 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

  15. 30 August 2016

    European recognition of FMA oversight of auditors

    The European Commission has announced its recognition of the New Zealand audit oversight regime as equivalent to EU standards, permitting NZ-regulated auditors to operate in the European Union.
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page