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15 February 2023

Events

The FMA frequently hosts events to engage with or assist business to meet their comliance needs. This page promotes all events organised or supported by the FMA
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.
14 February 2023

Submissions report Accounting records guidance

Submissions report following the consultation for Accounting records guidance.
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.
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Summary of feedback themes, along with our response and individual submissions, from our consultation on the draft guidance on reasonable grounds for financial advice about financial products
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.
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.
31 January 2023

AML/CFT Reporting Entities

Information about the AML/CFT reporting entities supervised by the FMA can be found here.
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).
30 January 2023

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

Feedback Form for Consultation paper Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements
24 January 2023

FMA Annual Report 2022

This is the FMA 2021/2022 annual report. Our annual reports detail the results we have achieved against our stated intentions. Our annual reports are a great way to review our operational highlights for each financial year.
24 January 2023

Ease of Doing Business Survery 2022

The FMA commissioned FiftyFive5 to conduct research among key stakeholders to understand the effectiveness of their interactions with the FMA and satisfaction with the services provided. This is the seventh year (2022) this stakeholder research has been conducted.
24 January 2023

Financial Markets Conduct Act

The Financial Markets Conduct Act 2013 forms the foundation that allows the FMA to provide quality regulation in financial services and capital markets here in NZ. Read more about the Financial Markets Conduct Act here.
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
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.