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1. 9 December 2020

   Consultation Standard conditions FAP submissions combined part two

   Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.

2. 9 December 2020

   Consultation Standard conditions FAP submissions combined part one

   Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.

3. 9 December 2020

   Overseas research reports 2020

   Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 from 15 March 2021.

4. 4 December 2020

   Auditor Regulation Act Notice 2020

   This notice is the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.

5. 1 December 2020

   Who will need a licence to provide financial advice

   The changes to how we regulate financial advice in New Zealand mean only those operating under licensed financial advice providers can give advice to retail clients. This fact sheet was drafted by the FMA ahead of the new financial advice regime to assist in helping navigate the new regime as a potential licence holder.

6. 18 November 2020

   Consultation guidance on advertising offers

   This consultation is for those involved in advertising and promoting offers of financial products, investor groups and consumer advocates. We are seeking feedback about the scope and content of the proposed guidance.

7. 12 November 2020

   Audit Quality Director's Guide 2020

   The Audit Quality Directors Guide 2020 handbook is aimed at directors of FMCreporting entities. It sets out how you, as a director, can contribute to the quality of your audit, as well as what you can expect from the FMA and your auditor.

8. 5 November 2020

   FAP standard conditions full licence RIS

   This Regulatory Impact Statement (RIS) discusses standard conditions for financial advice provider (FAP) licences, to be imposed by the FMA.

9. 30 October 2020

   Financial Markets Conduct (NZX Rules) Approval of Rule Change Notice 2020 –2020

   Financial Markets Conduct (NZX Rules) Approval of Rule Change Notice 2020 which aplies to Derivative Market Rules; NZX Participant Rules; Fonterra Share Market Listing Rules and NZ Markets Disciplinary Tribunal Rules.

10. 30 October 2020

    Consultation KiwiSaver Fees and Value for Money

    This consultation seeks input from KiwiSaver managers, KiwiSaver supervisors, other MIS managers, and other interested parties, on the regulatory approach to the statutory requirement that KiwiSaver fees must not be unreasonable and the related overarching statutory duties.

11. 22 October 2020

    Consultation paper Recognition of Australian Adviser Qualifications

    Consultation: This guidance note is for any person who gives regulated financial advice, and their advisers and interested parties. It seeks feedback on proposed recognition of certain Australian adviser qualifications.

12. 30 September 2020

    Consultation Auditor Regulation Act Replacement and Amendments

    This consultation is for: licensed auditors and registered audit firms, accredited bodies, and other interested parties. Itseek views from licensed auditors and registered audit firms on the proposed revocation of the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012 and Amendment Notice 2015, and introduction of the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.

13. 25 September 2020

    Consultation licensing crowd funding

    Consultation: Draft minimum standards and licence conditions for crowd funding service providers.

14. 25 September 2020

    Kiwisaver Annual Report 2020

    The report details the principal matters transacted under the Act during the year ended 30 June 2020, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.

15. 23 September 2020

    Supervision Insights Report 2020

    An overview of the FMA’s supervision activities and findings from our monitoring reviews of regulated entities. This is our 2020 report.