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  1. 23 June 2022

    Cyber security must be a priority for financial sector, FMA says

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has published an information sheet to help financial services firms enhance the resilience of their technology and operational systems, and meet any relevant licence obligations.
    Tags
    Crowdfunding providers, Directors, Discretionary investment management scheme (DIMS), Financial Advice Provider, Financial Adviser, Roles, Offer disclosure for equity and debt offers, Media release, Business, Managed investment schemes, Market operator, News & Insights, Peer-to-peer lending service providers, Supervisor
    Type
    Page

  2. 23 June 2022

    Cyber Security and Operational Systems Resilience

    This information sheet assists market services licensees (excluding benchmark administrators) licensed under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) to enhance the resilience of their cyber and operational systems. While this information sheet is designed to apply to a broad range of sectors, entities with complex cyber security and operational systems should consider the specific technology requirements and obligations that apply to their sector.
    Tags
    Auditors, Roles, Financial market infrastructures, Financial Adviser, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Derivative Issuer, Directors, Cryptocurrencies, Crowdfunding providers, Client money or property services provider, Authorised body under a FAP, Business, Interposed persons under new financial advice regime, Managed investment schemes, Market operator, Peer-to-peer lending service providers
    Type
    Guidance, PDF

  3. 23 June 2022

    Cyber security and operational systems resilience

    This information sheet assists market services licensees (excluding benchmark administrators) licensed under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) to enhance the resilience of their cyber and operational systems. While this information sheet is designed to apply to a broad range of sectors, entities with complex cyber security and operational systems should consider the specific technology requirements and obligations that apply to their sector.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance

  4. 21 June 2022

    Future Ready Advice Summit highlights

    Transcript of FMA’s Director of Market Engagement John Botica speech at the FSC’s Future Ready Advice Summit in Queenstown on June 14, 2022.
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Speeches and presentations , Business
    Type
    Page

  5. 21 June 2022

    ANARAKE PRIVATE CAPITAL LIMITED

    ANARAKE PRIVATE CAPITAL LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  8. 16 June 2022

    New Zealand investor confidence dips back to pre-COVID levels

    Confidence in New Zealand’s financial markets has slipped back in the past 12 months, after last year’s record score, but overall, two-thirds of investors remain confident.
    Tags
    Roles, Media release, Business, News & Insights
    Type
    Page

  9. 15 June 2022

    Adviser profile – Andrea Reid of Aliya Insurance Brokers

    Andrea Reid of Aliya Insurance Brokers shares how applying for a Financial Advice Provider (FAP) licence has helped her build a better business one step at a time.
    Tags
    Financial Advice Provider, Roles, Insights, Article, Business, News & Insights
    Type
    Page

  12. 30 May 2022

    FWGROUP LIMITED

    FWGROUP LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  13. 26 May 2022

    FMA releases record keeping information sheet for financial advice providers

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has published an information sheet for financial advice providers (FAPs) about how they can demonstrate compliance with record keeping obligations.
    Tags
    Financial Advice Provider, Roles, Media release, Business, News & Insights
    Type
    Page

  14. 26 May 2022

    Record keeping for financial advice providers

    This information sheet sets out our expectations for how licensed financial advice providers (FAPs) can demonstrate compliance with the standard condition for record keeping.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance