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6 March 2023

KiwiSaver annual statistical returns

The purpose of this guide is to explain how to complete the KiwiSaver annual statistical return and the page provides a link to FMA's online services where you can complete your return online.
28 February 2023

Deciding how to invest

Deciding how you wish to invest? Read about the three most important things to consider before you invest: risk, return and cost.
23 February 2023

Notice of approved auditing courses

Section 3(1)(e) of the prescribed minimum standards requires an individual who applies for a licence (under section 11 of the Act) after 30 June 2014 to have successfully completed a professional course in auditing approved by FMA. For the purposes of this section, FMA has approved the professional courses in auditing as documented in this PDF.
20 February 2023

CoFI ID consultation feedback form

This consultation feedback form relates to the proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.
20 February 2023

CoFI id guidance consultation paper

This consultation paper seeks feedback on proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.
20 February 2023

Consultation CoFI id draft guidance

This DRAFT guidance document relates to the consultation seeking feedback on proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.
15 February 2023

Regulatory Impact Statement FAP Regulatory Returns

This document is for financial advice providers, financial advisers, and other interested parties. It discusses the regulatory reporting requirements as required by Standard Condition 3 for licensed financial advice providers.
15 February 2023

Validus - Interim Stop Order

INTERIM STOP ORDER made by the Financial Markets Authority (FMA) pursuant to section 465 of the Financial Markets Conduct Act 2013 (Act), issued to Validus.
15 February 2023

Events

The FMA frequently hosts events to engage with or assist business to meet their comliance needs. This page promotes all events organised or supported by the FMA
14 February 2023

Guidance and expectations for keeping proper accounting records

Guidance and expectations to help FMC reporting entities to meet their statutory requirement to keep proper accounting records at all times.
14 February 2023

Submissions report Accounting records guidance

Submissions report following the consultation for Accounting records guidance.
9 February 2023

Licensed & reporting entities

The businesses/people listed on this page have been granted a licence or have been authorised by the FMA. It's important to only deal with licensed people and businesses because if things go wrong you will have access to free dispute resolution services. Find out further details including the provider's business address, list of services and the name of their independent dispute resolution scheme on the Financial Service Providers Register.
3 February 2023

Reasonable grounds for financial advice about financial products - submissions report

Summary of feedback themes, along with our response and individual submissions, from our consultation on the draft guidance on reasonable grounds for financial advice about financial products
2 February 2023

Reasonable grounds for financial advice about financial products - guidance

Guidance on the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about financial products purchased for investment purposes.
31 January 2023

Financial Markets Conduct - NZX Listing Rules Approval of Rule Change Notice 2023

This notice is the Financial Markets Conduct (NZX Listing Rules) Approval of Rule Change Notice 1/2023. This notice comes into force on 31 January 2023. This notice approves amendments to the NZX Listing Rules. The amendments relate primarily to the NZX Corporate Governance Code (the Code), contained at Appendix 1 to the Listing Rules.