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  2. 15 October 2021

    Council of Financial Regulators (CoFR) - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Council of Financial Regulators (Reserve Bank of New Zealand; FMA; The Treasury; Ministry of Business, Innovation and Employment (MBIE) and Commerce Commission

  4. 12 October 2021

    Advertising offers of financial products under the FMC Act guidance

    This guidance focuses on the application of the fair dealing provisions in Part 2 of the FMC Act to communications made for the purposes of advertising or promoting offers of financial products (advertising). This guidance also covers the application of the specific advertising provisions in Part 3 of the FMC Act for regulated offers of financial products.

  11. 6 October 2021

    Persons spreadsheet - Supporting document for Auditors

    Persons spreadsheet - Supporting document for Auditors. Complete the relevant columns giving a list of all partners indicating those who are members of a professional body and those who hold practising certificate, the name and website address of the professional body and a link to, any publicly available online register of members published by the body.

  12. 6 October 2021

    Hearings

    The FMA will provide you with an opportunity for a hearing in person in certain circumstances if you are impacted by a decision of the FMA. If you have the right to a hearing, we will let you know. This page outlines our approach to conducting hearings and explains the process we follow if you are entitled to a hearing and request one.

  14. 4 October 2021

    Self assessment tool cyber security and BCP

    Planning for all types of risk is an essential part of any business. As a financial advice provider, clients rely on you to ensure their information is secure, confidential, and available at all times. By taking the time to prepare for the unexpected, you’ll be able to get back on your feet quickly, protecting both your clients and your business. Use this self-assessment tool to see if you’re ready to complete the cyber security and business continuity planning 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. *