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Found 1753 results. Displaying page 31 of 117

31 August 2022

Wisdom House and Yuen Pok (Paul) Loo - Stop Order

The permanent stop order that applies to Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo, after they engaged in misleading and dishonest conduct, that the FMA ordered on 31 August 2022.
29 August 2022

Kalkine New Zealand Limited - Direction Order

FMA directs Kalkine New Zealand Limited to stop making outgoing sales calls to people in New Zealand following concerns about the entity’s misleading marketing conduct. 10 August 2022.
24 August 2022

FMA Annual Corporate Plan 2022-2023

Our Annual Corporate Plan 2022-2023 provides details of the FMA’s priority outcomes and intended programme of work for the financial year.
20 August 2022

FMA organisation chart - OIA request

OIAP response dated 20 August 2021, FMA organisation charts - Request for the FMA’s current organisation chart
16 August 2022

Banks, building societies and credit unions Climate Reporting Entities Flow Chart

This flow chart, for Banks, building societies and credit unions, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.
16 August 2022

Licensed Insurer Climate Reporting Entities Flow Chart

This flow chart, for Licensed Insurers, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.
16 August 2022

Listed Issuer Climate Reporting Entities Flow Chart

This flow chart, for Listed Issuers, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.
16 August 2022

Managed Investment Scheme (MIS) Manager Climate Reporting Entities Flow Chart

This flow chart, for Managed Investment Scheme (MIS) Managers, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.
16 August 2022

Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo - Interim Stop order

The Financial Markets Authority (FMA) has made an interim stop order that applies to Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo.
12 August 2022

Consultation Proposed Standard conditions FAP full licensing

Consultation: Proposed standard conditions for financial advice provider full licences and classes of financial advice service.
12 August 2022

Standard Conditions - FAP licences

Standard Conditions for financial advice provider licences.
10 August 2022

Direction under S513 of the ARA

Direction under s 513 of the Auditor Regulation Act
8 August 2022

Exemption notice - Financial Markets Conduct (ANZ Bank New Zealand Limited-Offer of PPS)

Financial Markets Conduct (ANZ Bank New Zealand Limited-Offer of PPS) Exemption Notice 2022. Pursuant to section 556 of the Financial Markets Conduct Act 2013, the Financial Markets Authority, being satisfied of the matters set out in section 557 of that Act, gives the following notice.
8 August 2022

When to contact us and who else may be able to help

Whilst the FMA is always happy to help, In some situations, there are other Agencies and organisations who are best placed to help. This page has a list of links to other organisations that could be better placed to help based on your needs.
8 August 2022

Conduct

Conduct is how market participants behave and how they serve the needs of customers. It is about how a business operates as a whole, and it’s driven by the culture and the governance of the organisation.This page explains the FMA's expectation of conduct by organisations that fall under its remit