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9 September 2022

Feedback form regulatory returns for licensed Class 3 financial advice providers

Feedback form for public consultation on the proposed regulatory returns that licensed Class 3 financial advice providers will be required to provide to the FMA
9 September 2022

Financial Markets Conduct NZX NZ Markets Disciplinary Rules Approval of Rule Change Notice 2022

This notice is the Financial Markets Conduct (NZX NZ Markets Disciplinary Tribunal Rules) Approval of Rule Change Notice 2022.
9 September 2022

Proposed annual regulatory return information to be provided by licensed CLASS 3 FAPs to the FMA (questions)

Proposed annual regulatory return information to be provided by licensed CLASS 3 Financial advice providers (FAPs) to the FMA
5 September 2022

Directors

The office of a director carries with it a wide range of ethical, legal and commercial duties and obligations. This page provides a range of guidance and resources to assist directors in their duties in New Zealand.
29 August 2022

Kalkine New Zealand Limited - Direction Order

FMA directs Kalkine New Zealand Limited to stop making outgoing sales calls to people in New Zealand following concerns about the entity’s misleading marketing conduct. 10 August 2022.
16 August 2022

Banks, building societies and credit unions Climate Reporting Entities Flow Chart

This flow chart, for Banks, building societies and credit unions, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.
16 August 2022

Licensed Insurer Climate Reporting Entities Flow Chart

This flow chart, for Licensed Insurers, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.
16 August 2022

Listed Issuer Climate Reporting Entities Flow Chart

This flow chart, for Listed Issuers, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.
16 August 2022

Managed Investment Scheme (MIS) Manager Climate Reporting Entities Flow Chart

This flow chart, for Managed Investment Scheme (MIS) Managers, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.
12 August 2022

Consultation Proposed Standard conditions FAP full licensing

Consultation: Proposed standard conditions for financial advice provider full licences and classes of financial advice service.
12 August 2022

Standard Conditions - FAP licences

Standard Conditions for financial advice provider licences.
10 August 2022

Direction under S513 of the ARA

Direction under s 513 of the Auditor Regulation Act
8 August 2022

Exemption notice - Financial Markets Conduct (ANZ Bank New Zealand Limited-Offer of PPS)

Financial Markets Conduct (ANZ Bank New Zealand Limited-Offer of PPS) Exemption Notice 2022. Pursuant to section 556 of the Financial Markets Conduct Act 2013, the Financial Markets Authority, being satisfied of the matters set out in section 557 of that Act, gives the following notice.
8 August 2022

Conduct

Conduct is how market participants behave and how they serve the needs of customers. It is about how a business operates as a whole, and it’s driven by the culture and the governance of the organisation.This page explains the FMA's expectation of conduct by organisations that fall under its remit
2 August 2022

Consumer Experience with the Financial Sector Survey 2022

The Consumer Experience with the Financial Sector survey is our inaugural, nationally representative survey of New Zealand consumers. The FMA commissioned the survey to gain a comprehensive understanding of consumer experiences with the financial sector. The research reveals insights into the mindset and motivations of consumers as they manage their money and deal with financial services firms. This research is part of a commitment by the FMA to build a better understanding of consumers to help shape our regulation of the financial sector and deliver on our objectives. The data also provides valuable insights for the financial services industry, other Government agencies and consumer bodies.