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  1. 6 April 2023

    Peer-to-peer and crowdfunding: sector snapshot

    This report is a 'snapshot' of peer-to-peer lending (P2P) and crowdfunding activity in New Zealand
    Tags
    Crowdfunding providers, Roles, Reports and Papers, Business, News & Insights, Peer-to-peer lending service providers
    Type
    Page, Report

  2. 6 April 2023

    Peer-to-Peer lending and Crowdfunding: sector snapshot

    Crowdfunding and Peer-to-Peer sector report for the 2022 period.
    Tags
    Crowdfunding providers, Reports and Papers, Roles, Business, News & Insights, Peer-to-peer lending service providers
    Type
    PDF

  3. 5 April 2023

    Here’s why complaints are really 'moments of truth'

    Clare Bolingford, FMA Executive Director Regulatory Delivery talks about the value of complaints to financial services companies.
    Tags
    Banking, Conduct, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Business, News & Insights
    Type
    Page

  5. 4 April 2023

    Effective disclosure guidance

    This guidance note is for Issuers of securities under the Securities Act 1978 pursuant to the transitional provisions of the Financial Markets Conduct Act 2013. It is also for their directors and advisers. It gives guidance on the approach the Financial Markets Authority (FMA) intends to take in reviewing prospectuses and investment statements for compliance with the law.
    Tags
    Directors, Roles, Derivative Issuer, Business
    Type
    PDF, Guidance

  6. 31 March 2023

    KiwiSaver Tracker

    The FMA no longer publishes the KiwiSaver Tracker. We recommend instead going to Sorted and using the Fundfinder tool.
    Tags
    Roles, KiwiSaver & Superannuation, Disclose register, Reports and Papers, Business, Consumer, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Resource

  7. 30 March 2023

    Content and form of Disclose register information guidance

    This guidance note is for Issuers and advisers who are required to produce a register entry for an offer of financial products under the FMC Act 2013. It gives guidance on matters the FMA recommends you consider when producing your register entry.
    Tags
    Derivative Issuer, Financial Adviser, Roles, Business
    Type
    PDF, Guidance

  8. 29 March 2023

    FMA issues formal warning to Vanguard

    We have issued a formal warning to Vanguard Investments Australia Limited (Vanguard), for failing to lodge a required notice on the New Zealand Companies Office Disclose Register.
    Tags
    Media release, Enforceable action, Formal warning, Powers, Offer disclosure for equity and debt offers, Roles, Business, News & Insights, Enforcement
    Type
    Page

  9. 27 March 2023

    Cambridge Asset Management unreasonably withholding funds

    WARNING: FMA is aware of a New Zealand investor unable to withdraw funds invested with Cambridge Asset Management.
    Tags
    Suspected scam, Investor warning, Derivative Issuer, Roles, Business, Consumer, Scams
    Type
    Page

  10. 27 March 2023

    AML/CFT FAQs

    Frequently asked questions answered about AML/CFT and obligations of reporting entities in New Zealand.
    Tags
    AML/CFT, Roles, Business
    Type
    Page

  12. 17 March 2023

    Financial advice regulatory regime - now in full effect

    Financial advice regulatory regime now in full effect and all financial advice providers (FAPs) must hold or operate under a full licence from the FMA if they want to provide regulated financial advice to retail clients.
    Tags
    Media release, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, New Financial Advice regime, Roles, Financial Services Legislation Amendment Act (FSLAA), Business, News & Insights, Nominated representatives
    Type
    Page

  13. 16 March 2023

    How the FAP licence classes compare

    Before you apply for a Financial Advice Provider (FAP) licence, you’ll need to decide whether you want to be considered for a Class 1, Class 2, or Class 3 licence. Use this table as a general guide to help you determine the class of FAP licence that is best suited to you and your plans for your business.
    Tags
    Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  14. 16 March 2023

    Tanami Financial Services Limited

    Tanami Financial Services Limited is a DIMS
    Tags
    Reporting entities, Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page

  15. 16 March 2023

    Saxe Coburg Limited

    Saxe Coburg is a DIMS
    Tags
    Reporting entities, Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page