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16 December 2020

Complying with the prohibition on the notice of trusts on registers

This information sheet explains the FMA’s expectations in regards to how issuers of regulated products can comply with the prohibition on the notice of trusts being entered on the register that is required to be kept by the issuer.
16 December 2020

FMA Annual Report 2020

The 2020 FMA Annual Report highlights our key work from the 2019/2020 financial year, including our response to the COVID-19 crisis, and a range of enforcement activity.
14 December 2020

Disclosure framework for integrated financial products

The disclosure framework for integrated financial services guidance note 2020 is relevant to issuers of financial products that incorporate non-financial factors.
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.