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  1. 5 April 2022

    Clare Bolingford speech at FSC Connect

    Transcript of speech by FMA's Director of Banking and Insurance, Clare Bollingford, at FSC Connect Panel where she talks about emerging trends in conduct regulation.
    Tags
    Financial Advice Provider, FMA people, Roles, Speeches and presentations , Conduct of Financial Institutions Bill (CoFI), Business, FMA, News & Insights
    Type
    Page

  3. 23 August 2023

    FMA acknowledges guilty verdict in Pushpay insider trading case

    FMA acknowledges today’s guilty verdict in the criminal trial of an individual accused of insider conduct in relation to the sale of shares in Pushpay Holdings Limited.
    Tags
    Media release, Insider trading, News & Insights, Enforcement
    Type
    Page

  4. 1 November 2013

    Changes ahead for Financial Reporting - FMA Fact Sheet

    The Financial Reporting Bill currently before Parliament is going to change the reporting requirements for all ‘Financial Markets Conduct (FMC) Reporting Entities’.
    Tags
    Type
    Page, Financial reporting, Guidance

  5. 14 April 2021

    Managed fund fees and value for money

    Guidance and principles to help managers and supervisors of KiwiSaver schemes and other managed investment schemes to demonstrate how they are meeting their existing obligations, statutory duties, and conduct expectations in respect of fees and value for money.
    Tags
    Roles, Supervisors, Business, Managed investment schemes
    Type
    Page, Guidance

  6. 10 December 2021

    Outsourcing CDD to a third-party provider

    Section 34 of the AML/CFT Act allows a reporting entity to authorise and rely on an agent to conduct CDD procedures on its behalf. An agent is a person that has legal authority to represent another party. If you outsource the above CDD procedures under section 34 to a third-party provider, the provider must be acting as your agent. In these circumstances, you remain responsible for ensuring that the CDD conducted by the third-party provider is undertaken to the level required by the AML/CFT Act. Read the full guidance on this page.
    Tags
    AML/CFT, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Financial Adviser, Roles, Business
    Type
    Page, Guidance

  7. 13 October 2021

    Advertising offers of financial products under the FMC Act

    Guidance on the Financial Markets Authority’s expectations in respect of advertising financial products under the Financial Markets Conduct Act 2013
    Tags
    Cryptocurrencies, Financial Institutions, Independent trustee, Financial Adviser, Financial Advice Provider, Discretionary investment management scheme (DIMS), Derivative Issuer, Crowdfunding providers, Client money or property services provider, Authorised body under a FAP, Roles, Offer information, Fair dealing, Directors, Business, Interposed persons under new financial advice regime, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Guidance

  8. 16 June 2021

    Financial advice given for the purpose of complying with lender responsibilities

    This information sheet explains the circumstances that may exclude a lender from some Financial Markets Conduct Act 2013 (FMC Act) obligations related to financial advice. The exclusion applies only in relation to consumer credit contracts and certain credit-related insurance contracts.
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Financial Institutions, Business
    Type
    Page, Guidance

  9. 25 September 2019

    FMA welcomes Government announcement on expanded remit

    The FMA (Financial Markets Authority) welcomed the Government’s announcement that it would introduce legislation to create an oversight regime for regulating conduct in the banking and insurance sectors.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  10. 16 January 2024

    Banking

    The FMA regulates certain products that may be offered by banks (e.g. managed funds) to you. The FMA is interested in the overall conduct of banks. THe FMA does not have a direct legislative mandate for regulating the conduct of providers of core retail banking (such as lending, credit and bank accounts).
    Tags
    Consumer banking, Consumer
    Type
    Page

  12. 25 July 2023

    CoFI licensing begins

    From today the FMA will begin accepting licensing applications for financial institution licences under the Conduct of Financial Institutions (CoFI) regime.
    Tags
    Media release, Banking, Licence, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Licensing & registration, Business, News & Insights
    Type
    Page

  13. 1 December 2014

    Consultation Fund update template and guidance for calculating risk indicators

    This paper is for market participants that manage funds and for their supervisors and investors. It explains how we propose to use two of the tools available to the FMA under the Financial Markets Conduct Act 2013 (FMC Act) and the Financial Markets Conduct Regulations 2014 (Regulations) to support the new offers regime for managed funds. We are consulting on a proposed ‘frameworks or methodologies’ (FM) template for fund updates and new guidance for calculating risk indicators.
    Tags
    Consultations, Roles, Business, Managed investment schemes
    Type
    PDF

  14. 15 March 2023

    FAP licences Classes of financial advice service

    The FMA specifies three licence classes for financial advice providers (FAP): Class 1, Class 2 and Class 3. See section 395(2) of the Financial Markets Conduct Act 2013 as amended by the Financial Services legislation Amendment Act 2019 (FMC Act).
    Licence classes apply to the manner in which regulated financial advice may be provided but do not limit the types of financial advice that may be provided under the licence, as the latter is addressed by the competency requirements in the Code of Professional Conduct for Financial Advice Services.
    Tags
    Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF, Information Sheet

  15. 18 May 2023

    Exemption Notice - Embark Early Education Limited

    The Financial Markets Conduct (Embark Early Education Limited) Exemption Notice 2023 exempts Embark Early Education Limited (Embark AU) from Part 3 of the Financial Markets Conduct Act 2013 (the Act) in relation to shares in Embark AU that are to be offered to eligible shareholders under a proposed scheme of arrangement pursuant to Part 15 of the Companies Act 1993.
    Tags
    FMC Act, Exemptions, Legislation, Business
    Type
    PDF, Exemption notice, Financial Markets Conduct Act exemptions, Current