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  1. 24 June 2021

    How to operate

    Getting prepared for licensing covers: who will need a licence under the new financial advice regime; the different ways to operate under the new regime, and provides an easy-to-navigate tool that will help guide you through the options if you're unsure how you wish to operate. See more.

  2. 24 June 2021

    Investor capability and consumer insights

    Capable, confident and well-informed investors are an essential part of healthy financial markets. Part of the FMA's role is to help investors build this capability and to seek insights from both investors and consumers of other financial services. This page explains the objective of the FMA in building customer capability and how we approach our work in building a safe and transparent financial market.

  3. 22 June 2021

    MIS liquidity risk management review

    This report contains recommendations on liquidity stress testing frameworks, processes and procedures, following the August 2020 self-assessment survey completed by regulated entities for a two-year period ending 31 December 2019. It will be useful for directors, senior management and investment personnel of managed investment schemes.

  6. 16 June 2021

    Financial advice lender exclusion updated 2021

    This information sheet explains the circumstances that may exclude a lender from some Financial Markets Conduct Act 2013 (FMC Act) obligations related to financial advice. The exclusion applies only in relation to consumer credit contracts and certain credit-related insurance contracts. Updated documented published 16/06/21

  7. 16 June 2021

    KiwiSaver switching behaviour 150621

    The aim of this research was to identify how any switches and other transactions took place between Febuary and April 2020 at the height of the market volatility associated with COVID-19

  9. 14 June 2021

    Auditor Regulation and Oversight Plan 2021-2024

    This report summarises our plan relating to auditor oversight, as part of our obligation under section 52 of the Auditor Regulation Act 2011. It includes small changes to our previous plan, but overall our focus areas remain unchanged.

  12. 3 June 2021

    Statement of Intent 2014

    Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2014 report.

  14. 24 May 2021

    What to expect from your financial adviser

    When you deal with a licensed financial advice provider NZ law entitles you to minimum standards of service. Most financial advice providers must be licensed by the Financial Markets Authority. Learn more about what to expect from your financial adviser

  15. 21 May 2021

    Costs of FADC case - OIA request

    OIA response, dated 21 May 2021, costs incurred from investigation commencement to completion by FMA and FADC relating to FADC case reference FADC 010