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  1. 26 March 2021

    Common sense for your dollars and cents

    New rules around financial advice came into play in March, 2021. Read more about the changes and why they are good news for everyday New Zealanders.
    Tags
    Roles, Reports and Papers, Financial advice, Article, Business, Consumer, News & Insights
    Type
    Page

  2. 25 March 2021

    Consultation Response to submissions regulatory returns DI MIS DIMS

    Response to consultation submissions: Content of regulatory returns for licensed DI, MIS managers and DIMS providers.
    Tags
    Derivative Issuer, Discretionary investment management scheme (DIMS), Managed investment schemes, Consultations, Roles, Business
    Type
    PDF

  3. 25 March 2021

    IFIAR releases 2020 Survey of Inspection Findings

    The International Forum of Independent Audit Regulators (IFIAR) has released its ninth annual survey of Members’ inspection results for the 2020 year. IFIAR is a membership organisation of 54 independent audit regulators, including the Financial Markets Authority (FMA).
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page

  5. 22 March 2021

    R A C Grimes Limited

    R A C Grimes Limited (FSP752972) is a licenced DIMS provider.
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  6. 19 March 2021

    Jarden Securities Limited

    Jarden Securities Limited, FSP3202, is a licensed derivatives issuer.
    Tags
    Derivative Issuer, Licensed entity, Roles, Reporting entities, Business
    Type
    Page

  7. 15 March 2021

    Crypto asset service providers

    This page provides information about your obligations if you provide a ‘financial service’ related to crypto assets in New Zealand. Read more about types of financial products, initial coin offers, registration, AML/CFT obligations and fair dealing requirements
    Tags
    Cryptocurrencies, Compliance, Roles, Fair dealing, Obligations, Offer information, Licensing & registration, Business
    Type
    Page

  8. 15 March 2021

    Audit quality – A director’s guide

    Audit quality – A director’s guide is aimed at directors of FMC reporting entities. It sets out how you, as a director can contribute to the audit quality of your audit, as well as what you can expect from the FMA and your auditor.
    Tags
    Directors, FMC Act, Roles, Legislation, Business
    Type
    Page

  9. 10 March 2021

    Consultation: Recognition of Australian adviser qualifications

    Consultation: Recognition of Australian adviser qualifications. When the new regime is in force, we propose to recognise that individual Australian advisers demonstrate the competence, knowledge and skill standards set by the Code if they hold certain Australian adviser qualifications, and to confirm this in a statement on our website.
    Tags
    Financial Adviser, Roles, Consultations, Business
    Type
    Page

  12. 9 March 2021

    Australian Licensees Exemption Notice guidance

    This guidance note provides an overview of the exemption notice relating to Australian advice businesses giving advice to New Zealand retail clients, and the circumstances in which a business may be able to rely on it.
    Tags
    Financial Advice Provider, Roles, Financial Adviser, Financial Institutions, Business
    Type
    Page, Guidance

  13. 4 March 2021

    Peer-to-peer lending and crowdfunding 2020 data published

    New Zealand’s peer-to-peer lending (P2P) and equity crowdfunding sectors experienced steady growth in the last year, according to data from the Financial Markets Authority (FMA).
    Tags
    Crowdfunding providers, FMC Act, Roles, Legislation, Media release, Business, News & Insights, Peer-to-peer lending service providers
    Type
    Page

  14. 17 February 2021

    NZX Derivatives Market Rules Approval of Rule Change Notice Feb 2021

    Pursuant to section 331 of the Act, the FMA approves changes to the NZX Derivatives Market Rules in accordance with the proposed amendments provided for approval by NZX to the FMA on 22 December 2020.
    Tags
    Regulation updates, Derivative Issuer, Roles, Business
    Type
    PDF, Notice

  15. 16 February 2021

    Newland Capital Management Limited

    Newland Capital Management Limited (FSP761692) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page