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  5. 13 December 2013

    Consultation Papers on draft minimum standards and conditions for new licenses

    CONSULTATION PAPER: The Financial Markets Conduct Act 2013 (the Act) introduces licensing for providers offering certain types of financial services. We are now consulting on the proposed minimum standards for these licence types. Read more here.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Licensing & registration, Consultations, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page

  7. 13 December 2013

    Consultation Papers on draft minimum standards and conditions for new licenses

    CONSULTATION PAPER: The Financial Markets Conduct Act 2013 (the Act) introduces licensing for providers offering certain types of financial services. We are now consulting on the proposed minimum standards for these licence types. Read more here.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Licensing & registration, Consultations, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page

  10. 5 December 2013

    FMA releases audit quality report

    The Financial Markets Authority (FMA) says its first audit quality review shows there is work to be done to meet the required standards.
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page, Guidance

  12. 1 December 2013

    Accredited Body Report – CPA Australia 2013

    The Auditor Regulation Act (the Act) requires the Financial Markets Authority (FMA) to assess to what extent CPA Australia, as an accredited body under the Act: has adequate and effective audit regulatory systems;
    complies with its obligations under the Auditor Regulation Act (Prescribed Minimum Standards for Accredited Bodies) Notice 2012. This is for the period ended 30 June 2013 report.
    Tags
    Reports and Papers, Auditors, Roles, Monitoring, Business, News & Insights
    Type
    PDF

  13. 1 December 2013

    Accredited Body Report – New Zealand Institute of Chartered Accountants 2013

    NZICA’s obligations under the Act require it to have adequate and effective systems, policies and procedures
    in place to perform its regulatory functions. These functions include: licensing of domestic auditors and registering domestic audit firms; monitoring the population registered by NZICA; promoting and monitoring competence; taking action against misconduct.
    This report contains the outcome of FMA’s assessment and covers the period 1 July 2012 to 30 June 2013
    (the review period).
    Tags
    Reports and Papers, Monitoring, Auditors, Roles, Business, News & Insights
    Type
    PDF

  14. 1 December 2013

    Audit Quality Review Report 2013

    This report provides an overview of the outcomes of the audit quality review activities of the Financial Markets Authority (FMA) for the period 1 July 2012 to 30 June 2013.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  15. 1 December 2013

    Identity Verification Code of Practice

    Identity Verification Code of Practice provides a suggested best practice for all reporting entities conducting name and date of birth identity verification on customers (that are natural persons) they have assessed to be low to medium risk.

    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance