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11 December 2020

Submissions on the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020 - summary of key themes

Summary of key themes: Submissions on the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.
9 December 2020

Consultation Standard conditions FAP consultation submissions combined part three

Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service - summary of key themes.
9 December 2020

Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service - summary of key themes

Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service
9 December 2020

Consultation Standard conditions FAP submissions combined part two

Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.
9 December 2020

Consultation Standard conditions FAP submissions combined part one

Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.
9 December 2020

Ease of doing business survey report 2020

The FMA commissioned Buzz Channel to conduct research among key stakeholders to understand the effectiveness of interactions FMA has with stakeholders and satisfaction with the service it provides. This is the 2020 report.
9 December 2020

FMA Annual Report Snapshot 2020

Snapshot of the FMA Annual Report 2020
9 December 2020

Exemption Notice - FNZ Group 2020

Financial Markets Conduct Exemption Notice 2020 - FNZ Group.
9 December 2020

Overseas research reports 2020

Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 from 15 March 2021.
4 December 2020

Auditor Regulation Act Notice 2020

This notice is the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.
1 December 2020

Exemption Notice - ICAP Brokers

Financial Markets Conduct Exemption Notice 2020 - ICAP Brokers Pty Limited and ICAP New Zealand Limited.
1 December 2020

Who will need a licence to provide financial advice

The changes to how we regulate financial advice in New Zealand mean only those operating under licensed financial advice providers can give advice to retail clients. This fact sheet was drafted by the FMA ahead of the new financial advice regime to assist in helping navigate the new regime as a potential licence holder.
25 November 2020

ANZ - Settlement Agreement

Settlement Agreement with ANZ Bank New Zealand Limited, 25 November 2020.
18 November 2020

Consultation draft guidance advertising offers FMC Act

Consultation - Proposed guidance: advertising offers of financial products under the Financial Markets Conduct Act 2013.
18 November 2020

Consultation guidance on advertising offers

This consultation is for those involved in advertising and promoting offers of financial products, investor groups and consumer advocates. We are seeking feedback about the scope and content of the proposed guidance.