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  2. 11 May 2020

    Founga ‘Inivesimeni Kākā

    This page is designed to help Tongan Communities with information on how to identify a scam. The page is supported by New Zealand Government Agencies.
    Tags
    Investing, Article, Consumer, News & Insights, Scams
    Type
    Page

  3. 11 May 2020

    Scam info for Pacific communities

    Scammers are targetting Pacific communities. This page talks about things you need to be aware of before investing. It also provides a real life scam story of someone who lost money in a scam.
    Tags
    Investor information, Consumer, Scams
    Type
    Page

  5. 6 May 2020

    FMA XRB Enhanced auditor reporting 2020

    Enhanced auditor reporting is a joint FMA and XRB report that looks at the evolution of trends in key audit matter reporting in the three years since the revised auditor’s report was introduced. Key audit matters are issues that, in the auditor’s view, were of most significance to the audit of a company’s financial statements – for example, a company’s valuation of goodwill or its revenue recognition. KAMs are intended to provide transparency and give users of the financial statements a better understanding of how the audit was conducted and complexities that arose. This is the 2020 report.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  9. 1 May 2020

    Record keeping for financial advice providers

    This information sheet sets out our expectations for how licensed financial advice providers (FAPs) can demonstrate compliance with the standard condition for record keeping. It will be useful for small and medium-sized FAPs to consider the examples provided when reviewing their internal arrangements for creating and maintaining records.
    Tags
    Financial Advice Provider, Financial Adviser, FMC Act, Roles, Legislation, Business
    Type
    PDF, Guidance, Information Sheet

  10. 1 May 2020

    FMA’s reviews of financial reporting

    FMA’s reviews of financial reporting is a statement outlining our approach to financial reporting reviews, highlighting selected areas of interest for our 2019/20 reviews. It will be useful for anyone involved in preparing or approving financial reporting for FMC reporting entities. Read more.
    Tags
    Governance, Directors, Roles, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Business, FMA, Managed investment schemes, Peer-to-peer lending service providers, Nominated representatives
    Type
    Page, Financial reporting, Guidance

  11. 1 May 2020

    Roger Gannon - Formal Warning

    Summary of Formal Warning issued by the FMA following an investigation into Mr Gannon, an AFA and Director of Gannon Insurance Brokers Limited, May 2020.
    Tags
    Enforcement
    Type
    PDF

  13. 30 April 2020

    Insurer COVID 19 Expectations

    Letter from the Director of Banking and Insurance, FMA to stakeholders detailing the FMA expectation during COVID-19
    Tags
    Financial Advice Provider, Banking, Roles, Business
    Type
    PDF, Letter

  15. 29 April 2020

    FMA suspends EncoreFX licence following voluntary administration

    FMA has suspended the derivatives issuer licence of EncoreFX (NZ) Limited (EncoreFX) after the business was put into voluntary administration by its Canadian parent.
    Tags
    Derivatives, Regulation, Ways to invest, Investing, Media release, Business, Consumer, News & Insights
    Type
    Page