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1. 3 February 2023

   Reasonable grounds for financial advice about financial products - submissions report

   Summary of feedback themes, along with our response and individual submissions, from our consultation on the draft guidance on reasonable grounds for financial advice about financial products

2. 2 February 2023

   Reasonable grounds for financial advice about financial products - guidance

   Guidance on the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about financial products purchased for investment purposes.

3. 31 January 2023

   Financial Markets Conduct - NZX Listing Rules Approval of Rule Change Notice 2023

   This notice is the Financial Markets Conduct (NZX Listing Rules) Approval of Rule Change Notice 1/2023. This notice comes into force on 31 January 2023. This notice approves amendments to the NZX Listing Rules. The amendments relate primarily to the NZX Corporate Governance Code (the Code), contained at Appendix 1 to the Listing Rules.

4. 31 January 2023

   AML/CFT Reporting Entities

   Information about the AML/CFT reporting entities supervised by the FMA can be found here.

5. 30 January 2023

   Consultationpaper: Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements

   We are reviewing whether to renew for a further five years an existing class exemption notice that allows product disclosure statements to be provided in full in both te reo Māori and English (dual language PDSs).

6. 20 January 2023

   MIS Sector Risk Assessment 2023

   Findings from the FMA’s assessment of the sector risks and the underlying key risk factors for Managed Investment Schemes (MIS), January 2023

7. 18 January 2023

   FAP Licensing Application Guide Class 3 questions

   FAP Licensing Application Guide Class 3 questions: This document contains the questions you will be asked when applying for a Class 3 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.

8. 17 January 2023

   Supervisor Licence Certificate - Trustees Executors Limited

   Trustees Executors Limited – FSP37383, Supervisor Licence Certificate

9. 17 January 2023

   Supervisors Licence Public Trust

   This is the Supervisors Licence Public Trust certificate. LICENCE GRANTED: 17 January 2023, LICENCE STATUS: Active.

10. 31 December 2023

    31 December 2022 Disclose Register KiwiSaver fund updates

    Disclose Register KiwiSaver fund update for the period ending 31 December 2022.

11. 21 December 2022

    Bruce Allan Baillie - NZICA decision on appeal

    NZICA Bruce Allan Baillie decision on appeal.

12. 21 December 2022

    Wynyard Group - NZICA decision on appeal

    NZICA has released its disciplinary decisions arising from the 2015 PwC audit of the formerly NZX-listed Wynyard Group.

13. 21 December 2022

    Enforcing the law

    Enforcement and deterrence is a critical part of the work that the FMA undertakes. It plays a key role in raising standards and responding to conduct that presents the greatest risk of harm to our financial markets. Find out more about our approach to enforcement here.

14. 21 December 2022

    AML/CFT

    The Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) and its regulations place obligations on New Zealand’s financial institutions to detect and deter money laundering and terrorism financing. Find out more about your AML/CFT obligations on this page.

15. 15 December 2022

    ASX 24 Obligations Review 2022

    This review covers the period 1 July 2020 to 30 June 2022 and is our fourth review of ASX 24 since its licence came into effect on 1 December 2014.