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15 December 2022

UK recruitment trip - OIA request

OIA response to request for information surrounding the UK recruitment trip 2022
15 December 2022

Value for Money discussion document - OIA response

OIA response: Request for Value for Money discussion document
15 December 2022

Pencarrow Private Equity Management Limited - Formal Warning

We have formally warned Pencarrow Private Equity Management Limited for breaching record-keeping requirements under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act. Our investigation found Pencarrow had systemic failings in its retention of identity and verification records for customers who invested in its Fund V, during the period April to July 2018, in that the records were not readily accessible.
15 December 2022

SGX DT Obligations Review 2022

This report covers the FMA’s review of SGX-DT for the period 14 September 2021 (the commencement date of SGX-DT’s licence) to 30 June 2022.
13 December 2022

Exemption notice - Financial Markets Conduct Small Co operatives

This notice provides co-operative companies and industrial and provident societies with a lighter regulatory compliance pathway.
9 December 2022

Disclose Register MIS fund updates for 30 June 2022

MIS fund update for 30 June 2022.
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
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.
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.
30 November 2022

Financial Institutions Regulatory Impact Statement (RIS) standard conditions

This document is for financial institutions, their advisers, and interested parties. It discusses standard conditions for financial institution licences.
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.
30 November 2022

Consultation summary - summary of key themes standard conditions for Financial Institutions

Summary of the key themes presented during the consultation of financial institution standard conditions for licensing.
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.
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.
28 November 2022

Cryptocurrencies

Cryptocurrencies are high risk, speculative products that operate differently to traditional investments. Only invest what you can afford to lose and use New Zealand-based platforms to give yourself some level of protection.