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  1. 5 December 2022

    How to identify a product disclosure statement (PDS) or prospectus scam

    FMA has issued this article about how to identify and avoid PDS or prospectus scams as a result of an increase in fake investment documents targeting New Zealand investors.
    Tags
    Investor information, Suspected scam, Article, Consumer, News & Insights, Scams
    Type
    Page

  2. 5 December 2022

    Suspected scam involving IKICI

    WARNING: We are aware that a New Zealand resident was unable to recover the bitcoins they paid to IKICI for trading purposes.
    Tags
    Suspected scam, Scams
    Type
    Page

  5. 2 December 2022

    Accredited Body Report - CPA Australia 2022

    Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2021 to 30 June 2022
    Tags
    Roles, Accredited bodies, Business
    Type
    PDF, Report

  6. 2 December 2022

    Accredited Body Report - NZICA 2022

    Findings from the FMA’s review of the adequacy and effectiveness of NZICA’s audit regulatory systems for the period 1 July 2021 to 30 June 2022.
    Tags
    Roles, Accredited bodies, Business
    Type
    PDF, Report

  7. 8 December 2023

    Accredited Body Report - CPA Australia

    CPA Australia Accredited Body Report contains the findings of our monitoring assessment of CPA Australia. Read more.
    Tags
    Auditors, Roles, Reports and Papers, Business, Accredited bodies, News & Insights
    Type
    Page, Report

  9. 30 November 2022

    Fair Conduct Programmes information sheet

    This information sheet provides information and examples to help entities establish, implement and maintain their fair conduct programmes (FCPs). It will be useful for entities holding or applying for a licence to act as a financial institution under the Financial Markets Conduct Act 2013 (FMC Act), and anyone involved in establishing, implementing and maintaining an FCP.
    Tags
    Banking, Conduct, Insurance Providers, Financial Institutions, Business
    Type
    PDF

  10. 30 November 2022

    FMA progressing CoFI implementation with publication of licensing materials

    The FMA is continuing to progress preparations for the Financial Markets (Conduct of Institutions) Amendment Act 2022 (CoFI), with the release of a suite of materials for financial institutions.

    Tags
    Banking, Media release, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Managed Investment Schemes, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page

  11. 30 November 2022

    Consultation: Proposed standard conditions for financial institution licences

    Consultation on the FMA’s proposed standard conditions for financial institution licences, as part of the Financial Markets (Conduct of Institutions) Amendment Act 2022 (CoFI Act). and post consultation documents.
    Tags
    Banking, Consultations, Insurance Providers, Financial Institutions, Standard conditions, Conduct of Financial Institutions Bill (CoFI), Licensing & registration, Managed Investment Schemes, Roles, Business, Managed investment schemes
    Type
    Page

  12. 30 November 2022

    Legislation

    The FMA oversees a range of financial markets legislation. We also have certain powers, monitor compliance, investigate and enforce conduct that may constitute a contravention of other legislation, where it applies to financial market firms and individuals. View all the legislation we oversee on this page.
    Tags
    Legislation, Fair dealing, New Financial Advice regime, FMC Act, Regulatory cooperation, Conduct of Financial Institutions Bill (CoFI), Financial Services Legislation Amendment Act (FSLAA), Business, FMA
    Type
    Page

  13. 30 November 2022

    Standard conditions Financial Institutions

    If we grant you a financial institution licence, the licence will be subject to the conditions set out in this document.
    Tags
    Banking, Standard conditions, Insurance Providers, Financial Institutions, Licensing & registration, Business
    Type
    PDF

  15. 30 November 2022

    Financial Institutions Submissions report standard conditions

    Collation of written feedback received as part of the FMA’s
    public consultation on the proposed standard conditions for
    financial institution licences.
    Tags
    Banking, Consultations, Financial Institutions, Business
    Type
    PDF