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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. 7 March 2023

    Investing basics

    Understand the basics of investing by working out what kind of investor you are and learning the skills to manage your investments confidently. Helping investors make better informed decisions.

  4. 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.

  5. 28 February 2023

    Deciding how to invest

    Deciding how you wish to invest? Read about the three most important things to consider before you invest: risk, return and cost.

  6. 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.

  7. 20 February 2023

    CoFI ID consultation feedback form

    This consultation feedback form relates to the proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.

  8. 20 February 2023

    CoFI id guidance consultation paper

    This consultation paper seeks feedback on proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.

  9. 20 February 2023

    Consultation CoFI id draft guidance

    This DRAFT guidance document relates to the consultation seeking feedback on proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.

  10. 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.

  11. 15 February 2023

    Validus - Interim Stop Order

    INTERIM STOP ORDER made by the Financial Markets Authority (FMA) pursuant to section 465 of the Financial Markets Conduct Act 2013 (Act), issued to Validus.

  12. 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

  15. 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.