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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.
8 April 2024

Standard conditions for MIS

If the FMA grants you a licence to act as a manager of a non-restricted and registered managed investment scheme (MIS manager licence), the licence will be subject to conditions set out in section 402 of the Financial Markets Conduct Act 2013 (FMC Act).
8 April 2024

Online Services

Online Services is a secure portal hosted by the FMA for submitting licence applications and, regulatory and scheme information.
8 April 2024

Crowdfunding service providers

Crowdfunding is a type of financial market service covered by the FMC Act. Find out more about becoming a crowdfunding service provider including details in licensing, obligations, fair dealing provisions, financial reporting, exemptions, levies and waivers, along with important guidance and reports..
8 April 2024

Discretionary Investment Management Service (DIMS)

To provide discretionary investment management services (DIMS) under the FMC Act you must hold a DIMS market services licence issued under the FMA Act. Find out more about the licensing, fees associated with licensing, compliance obligations and exemptions available to this role in New Zealand.