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  1. 1 June 2016

    Investor Confidence Research 2016

    This is the fourth year that FMA has carried out investor research measuring attitudes towards, and investment in New Zealand’s financial markets.
    Tags
    Reports and Papers, FMA, News & Insights
    Type
    PDF, Research

  2. 1 June 2016

    Auditor regulation and oversight plan 2016 2019

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways
    we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2016-2019 period.
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  3. 1 June 2016

    FM Trader

    FM Trader has been cold calling New Zealand residents without being a registered New Zealand company or registered on the Financial Services Providers Register.
    Tags
    Suspected scam, International regulator alerts, Scams
    Type
    Page

  5. 1 June 2016

    Factors influencing insurance policy survival

    In our study of what factors influence policy survival, we used the Cox proportional hazard model to identify
    key factors. We found that commission structure was consistently the most significant factor influencing policy
    survival rates and, within the commission structure, clawback was a major factor.
    Tags
    Financial Adviser, Reports and Papers, Roles, Financial Advice Provider, Business, FMA, News & Insights
    Type
    PDF

  6. 31 May 2016

    Forsyth Barr Investment Management Limited

    Forsyth Barr Investment Management Limited, FSP25021, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  7. 26 May 2016

    Fee Disclosure For Managed Funds guidance

    This guidance helps managers and supervisors understand how fees should be disclosed in Product Disclosure Statements, fund updates and, in respect of KiwiSaver schemes, confirmation information. It includes guidance on the classification and disclosure of performance-based fees, management and
    administration charges, underlying fund charges, and how to use third-party information.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  8. 26 May 2016

    Response to consultation submissions on fee disclosure by managed funds

    We have provided guidance to help managers and supervisors understand the new disclosure obligations, and the various categories of fees and charges they must disclose.
    Tags
    Consultations, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Guidance, Information Sheet

  11. 20 May 2016

    Cambrian Corporation Limited

    The FMA has ordered a foreign exchange educator Cambrian to change its marketing materials on the basis that they were misleading or deceptive, and it had made unsubstantiated statements about its services.
    Tags
    Enforcement
    Type
    Page

  12. 20 May 2016

    FMA orders Cambrian to change misleading materials

    The FMA has ordered a foreign exchange educator to change its marketing materials on the basis that they were misleading or deceptive, and it had made unsubstantiated statements about its services.
    Tags
    Media release, News & Insights
    Type
    Page

  13. 19 May 2016

    FMA legislative notices supporting the FMC Act regime

    To support businesses implementing the Financial Markets Conduct Act 2013 (FMC Act), the FMA has been working, in consultation with the sector, on various legislative tools such as exemptions, frameworks, methodologies, public accountability notices, and designations (the FMA’s legislative tools).
    Tags
    Regulation updates, Business
    Type
    Page

  14. 19 May 2016

    Licensing obligations for property investment schemes imminent

    The FMA is putting the call out to businesses of all sizes providing property investment schemes or property syndication funds to get licensed now.
    Tags
    Licensing & registration, Property investment, Property syndicates, Media release, Ways to invest, Investing, Business, Consumer, News & Insights
    Type
    Page