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9 March 2021

Financial Markets Conduct (Australian Licensees) Exemption Notice 2020 guidance note

This guidance note 2020 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.
9 March 2021

Consultation Recognition of Australian adviser qualifications submissions report

The following submissions were received in response to our consultation on recognition of Australian adviser qualifications.
9 March 2021

Proposed exemption restricted schemes feedback form

Consultation feedback form: restricted schemes
3 March 2021

Exemption notice - Allianz Australia Insurance Limited

Allianz Australia Insurance Limited Exemption Notice 2021.
2 March 2021

Exemption notice - Financial Markets Conduct ICAP Brokers Pty Limited and ICAP New Zealand Limited

Financial Markets Conduct (ICAP Brokers Pty Limited and ICAP New Zealand Limited) Exemption Notice 2021
1 March 2021

Property syndicates

Joining a property syndicate can be an easy way to get into the property market, but there can be significant risk involved. Learn more before you start.
22 February 2021

KiwiSaver exempt employers

See here list of KiwiSaver exempt employers.
19 February 2021

Exemption notice - Financial Markets Conduct Insider Trading Livestock Improvement Corporation Limited

Financial Markets Conduct (Insider Trading - Livestock Improvement Corporation Limited) Exemption Notice 2021
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.
12 February 2021

ANZ Bank New Zealand Limited - High Court Judgment

On 4 June 2020 the Financial Markets Authority (“FMA”) filed civil proceedings against ANZ Bank New Zealand Limited (“ANZ”) alleging various breaches of the Financial Markets Conduct Act 2013 (“the Act”). This is the High Court Judgment.
9 February 2021

Choosing an online investing platform

Online investing platforms enable you to trade shares and other financial products online. We give you things to think about when choosing an online investing platform
9 February 2021

Using an investing platform

Online investing platforms enable you to trade shares and other financial products online. We give you tips on using an investing platform like setting your intentions, diversifying, and other options.
27 January 2021

Market Operator Obligations Targeted Review NZX

As a licensed market operator, NZX is required to meet certain general obligations imposed under section 314 of the Financial Markets Conduct Act 2013 (FMC Act). One of those obligations requires NZX to have sufficient technological resources to operate its licensed markets properly. This includes ensuring, to the extent reasonably practicable, the availability, security, capacity and maintenance of its trading platforms, settlement systems, internal market monitoring systems and other related systems.
19 January 2021

ASX24 Obligations Review 2020

Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives market) in New Zealand. The FMA is required to report at least once every two years1 on how well ASX 24 is meeting its licensed market operator obligations. This review covers the period 1 July 2018 to 30 June 2020. T
18 January 2021

Consulation Review of wholesale investor exclusion exemption

This consultation is for all interested people including wholesale investors, banks, brokers, issuers and legal advisers. It seeks feedback to inform our review of the Financial Markets Conduct (Wholesale Investor Exclusion - $750,000 Minimum Investment) Exemption Notice 2017.