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23 April 2024

Supervisors

Supervisors are appointed to look after investors' interests for some types of financial products and the interests of residents of retirement villages. Supervisors covered by the Financial Markets Supervisors Act 2011 (the FMS Act) are those who supervise debt securities; Registered schemes, including KiwiSaver schemes, specified managed funds and superannuation schemes, and retirement villages.View more about licensing and registration and the obligations of Supervisors in New Zealand on this page.
22 April 2024

Exemption Notice 2024 - Financial Markets Conduct Climate related Disclosures Nufarm Finance NZ Limited

Financial Markets Conduct (Climate-related Disclosures – Nufarm Finance (NZ) Limited) Exemption Notice 2024
19 April 2024

Exemption Notice 2024 - Financial Markets Conduct Goldman Sachs

Financial Markets Conduct (Goldman Sachs) Exemption Notice 2024
18 April 2024

Regulatory Impact Statement CRD exemptions for foreign listed issuers

Regulatory Impact Statement (RIS) document for Exemptions for foreign listed issuers from climate reporting
15 April 2024

Exemption Notice 2024 - Todd Family Office Limited Financial Reporting

Exemption Notice 2024 - Todd Family Office Limited Financial Reporting
11 April 2024

Consultation paper: Proposed exemptions for UK pension transfer advice

Have your say on proposed exemptions for UK firms giving financial advice to New Zealand clients on UK pension transfers.
11 April 2024

Feedback form Proposed exemptions for UK pension transfer advice

Please submit this feedback form electronically in MS Word format and email it to us at [email protected] with ‘Proposed exemptions for advice on United Kingdom law aspects of defined benefit pension transfers: [your organisation’s name]’ in the subject line. Thank you.
11 April 2024

Guidance Notification of incidents relating to the operational resilience of technology systems

Notification of incidents relating to the operational resilience of technology systems
11 April 2024

Financial adviser

To use the term Financial Adviser from the start of the new financial advice regime, you must be registered on the Financial Service Providers Register (FSPR) and engaged by a licensed financial advice provider (FAP) (or authorised body).　 Find out more about licensing, your ongoing obligations and duties and complying with the new Code of Professional Conduct; liabilities and enforcement and frequently asked questions on this page.
8 April 2024

Submissions report: Standard condition on business continuity and technology systems

Submissions report: Standard condition on business continuity and technology systems
8 April 2024

Standard Conditions for Crowd Funding

If you are granted a crowdfunding service licence, the licence will be subject to these standard conditions.
8 April 2024

Standard Conditions for Peer to peer

If you are granted a peer-to-peer (P2P) lending service licence, the licence will be subject to the following conditions.
8 April 2024

Regulatory impact statement Standard condition on business continuity and technology systems

Regulatory Impact Statement: Operational resilience condition for certain market services licence holders under Part 6 of the Financial Markets Conduct Act 2013.
8 April 2024

Standard Conditions for derivatives issuers

If the FMA grants you a derivatives issuer licence under section 396 of the FMC Act, the licence will be subject to conditions detailed in this document.
8 April 2024

Standard Conditions for DIMS

DIMS standard conditions, updated April 2024 explains the systems and procedures to maintain relevant records pertaining to your market service and the records you must provide to the FMA to enable us to monitor your on- going capability to effectively perform the DIMS in accordance with the applicable eligibility criteria in the Act.