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  2. 1 December 2021

    Accredited Body Report - CPA Australia 2021

    Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2020 to 30 June 2021

  10. 4 November 2021

    Record keeping self assessment tool

    Keeping accurate records of the financial advice you provide helps maintain a relationship of transparency and trust with your clients. It also ensures you can provide evidence of how you have complied with your licensee obligations as and when required. Use this self-assessment tool to see if you’re ready to complete the record keeping section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.

  12. 1 November 2021

    Self assessment tool key outsourcing arrangements

    As a small business, we expect you’ll need to outsource some functions to third parties. It’s important that you protect your reputation and your clients by conducting robust background checks, putting contractual agreements in place, and performing regular reviews to ensure suppliers of key functions are up to the task and can meet your expectations and Financial Advice Provider (FAP) obligations. As a FAP, you remain responsible for any functions that you outsource.

  15. 18 October 2021

    Exemption Notice - Christchurch City Holdings Limited Sustainable Bond Offer

    The notice exempts Christchurch City Holdings Limited (CCHL), subject to conditions, from the disclosure, governance, and financial reporting requirements in Parts 3, 4 and 7 of the Financial Markets Conduct Act 2013 (the Act) in relation to offers of ‘sustainable’, ‘sustainability’, ‘green’ ‘social’, or similar bonds (Sustainable Bonds) issued under CCHL’s sustainability framework (Sustainability Framework).