Search results

Found 1778 results. Displaying page 31 of 119

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   Summary of feedback themes, along with our response and individual submissions, from our consultation on the draft guidance on reasonable grounds for financial advice about financial products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

3. 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.

4. 31 January 2023

   AML/CFT Reporting Entities

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

5. 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).

6. 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

7. 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.

8. 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.

9. 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.

10. 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

11. 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.

12. 17 January 2023

    Cigna Life Insurance New Zealand Ltd - Judgment

    The Wellington High Court has ordered Cigna Life Insurance New Zealand Limited to pay a final pecuniary penalty of $3,575,000. 

13. 17 January 2023

    Supervisor Licence Certificate - Trustees Executors Limited

    Trustees Executors Limited – FSP37383, Supervisor Licence Certificate

14. 17 January 2023

    Supervisors Licence Public Trust

    This is the Supervisors Licence Public Trust certificate. LICENCE GRANTED: 17 January 2023, LICENCE STATUS: Active.

15. 31 December 2023

    31 December 2022 Disclose Register KiwiSaver fund updates

    Disclose Register KiwiSaver fund update for the period ending 31 December 2022.