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1. 7 March 2023

   FAP regulatory returns questions Class 3

   This document provides an overview of the questions you'll be asked for when you submit your Class 3 FAP Regulatory Return. The regulatory returns are due by 30 September for the 12-month period from 1 July to 30 June (period of return).

2. 7 March 2023

   FAP regulatory returns questions Class 1

   This document provides an overview of the questions you'll be asked for when you submit your Class 1 FAP Regulatory Return. The regulatory returns are due by 30 September for the 12-month period from 1 July to 30 June (period of return).

3. 6 March 2023

   KiwiSaver annual statistical returns

   The purpose of this guide is to explain how to complete the KiwiSaver annual statistical return and the page provides a link to FMA's online services where you can complete your return online.

4. 23 February 2023

   Notice of approved auditing courses

   Section 3(1)(e) of the prescribed minimum standards requires an individual who applies for a licence (under section 11 of the Act) after 30 June 2014 to have successfully completed a professional course in auditing approved by FMA. For the purposes of this section, FMA has approved the professional courses in auditing as documented in this PDF.

5. 15 February 2023

   Regulatory Impact Statement FAP Regulatory Returns

   This document is for financial advice providers, financial advisers, and other interested parties. It discusses the regulatory reporting requirements as required by Standard Condition 3 for licensed financial advice providers.

6. 14 February 2023

   Guidance and expectations for keeping proper accounting records

   Guidance and expectations to help FMC reporting entities to meet their statutory requirement to keep proper accounting records at all times.

7. 14 February 2023

   Submissions report Accounting records guidance

   Submissions report following the consultation for Accounting records guidance.

8. 9 February 2023

   Licensed & reporting entities

   The businesses/people listed on this page have been granted a licence or have been authorised by the FMA. It's important to only deal with licensed people and businesses because if things go wrong you will have access to free dispute resolution services. Find out further details including the provider's business address, list of services and the name of their independent dispute resolution scheme on the Financial Service Providers Register.

9. 3 February 2023

   Reasonable grounds for financial advice about financial products - submissions report

   Summary of feedback themes, along with our response and individual submissions, from our consultation on the draft guidance on reasonable grounds for financial advice about financial products

10. 2 February 2023

    Reasonable grounds for financial advice about financial products - guidance

    Guidance on the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about financial products purchased for investment purposes.

11. 31 January 2023

    Financial Markets Conduct - NZX Listing Rules Approval of Rule Change Notice 2023

    This notice is the Financial Markets Conduct (NZX Listing Rules) Approval of Rule Change Notice 1/2023. This notice comes into force on 31 January 2023. This notice approves amendments to the NZX Listing Rules. The amendments relate primarily to the NZX Corporate Governance Code (the Code), contained at Appendix 1 to the Listing Rules.

12. 31 January 2023

    AML/CFT Reporting Entities

    Information about the AML/CFT reporting entities supervised by the FMA can be found here.

13. 30 January 2023

    Consultationpaper: Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements

    We are reviewing whether to renew for a further five years an existing class exemption notice that allows product disclosure statements to be provided in full in both te reo Māori and English (dual language PDSs).

14. 20 January 2023

    MIS Sector Risk Assessment 2023

    Findings from the FMA’s assessment of the sector risks and the underlying key risk factors for Managed Investment Schemes (MIS), January 2023

15. 18 January 2023

    FAP Licensing Application Guide Class 3 questions

    FAP Licensing Application Guide Class 3 questions: This document contains the questions you will be asked when applying for a Class 3 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.