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  2. 11 April 2024

    Financial adviser

    To use the term Financial Adviser from the start of the new financial advice regime, you must be registered on the Financial Service Providers Register (FSPR) and engaged by a licensed financial advice provider (FAP) (or authorised body).　
    Find out more about licensing, your ongoing obligations and duties and complying with the new Code of Professional Conduct; liabilities and enforcement and frequently asked questions on this page.
    Tags
    New Financial Advice regime, Compliance, Financial Adviser, FSPR, Obligations, Licensing & registration, Roles, Business
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  3. 11 April 2024

    Financial Institutions

    A financial institution is a registered bank, licensed insurer, or licensed non-bank deposit taker (NBDT) that is in the business of providing one or more relevant services. View more about the licensing of Financial Institutions on this page.
    Tags
    Financial Institutions, Banking, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Managed Investment Schemes, Roles, Business, Managed investment schemes
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  6. 10 April 2024

    Climate Reporting Entities (CREs)

    The New Zealand government has introduced a new regime making climate-related disclosures mandatory for some organisations. Organisations covered (known as Climate Related Entities or CREs) will have to make annual disclosures covering governance arrangements, risk management, strategies and metrics and targets for mitigating and adapting to climate change impacts. The requirement applies to the larger publicly listed companies, big insurers, banks, non-bank deposit takers and investment managers. Read more on the FMA website.
    Tags
    Climate related disclosure, Climate Reporting Entities, Business
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  7. 9 April 2024

    Sirk Investments Limited – Imposter website, suspected scam

    The FMA is concerned that Sirk Investments Limited may be operating an ongoing scam. Its website is linked to an earlier warning issued about an imposter of J Rothschild.
    Tags
    Imposter website, Investor warning, Consumer, Scams
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  9. 8 April 2024

    Peer-to-peer lending service providers

    Peer-to-peer lending is a type of financial market service covered by the FMC Act. Find out more about becoming a peer-to-peer lending service provider, the licensing and registration and compliance obligations along with exemptions available in New Zealand.
    Tags
    Compliance, Obligations, Licensing & registration, FMC Act, Exemptions, Roles, Legislation, Business, Peer-to-peer lending service providers
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  10. 8 April 2024

    FMA introduces new standard condition on business continuity and technology systems plus new process for reporting operational incidents

    The FMA is introducing a new standard condition for certain market licence holders following consultation. The new licence condition will focus on business continuity and technology systems. The new condition will come into effect on 1 July 2024.
    Tags
    Media release, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Standard conditions, Roles, Licensing & registration, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
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  12. 8 April 2024

    Standard Conditions for Peer to peer

    If you are granted a peer-to-peer (P2P) lending service licence, the licence will be subject to the following conditions.
    Tags
    Standard conditions, Roles, Licensing & registration, Business, Peer-to-peer lending service providers
    Type
    PDF

  13. 8 April 2024

    Standard Conditions for DIMS

    DIMS standard conditions, updated April 2024 explains the systems and procedures to maintain relevant records pertaining to your market service and the records you must provide to the FMA to enable us to monitor your on- going capability to effectively perform the DIMS in accordance with the applicable eligibility criteria in the Act.
    Tags
    Discretionary investment management scheme (DIMS), Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF

  14. 8 April 2024

    Standard conditions for MIS

    If the FMA grants you a licence to act as a manager of a non-restricted and registered managed investment
    scheme (MIS manager licence), the licence will be subject to conditions set out in section 402 of the
    Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Standard conditions, Roles, Licensing & registration, Business, Managed investment schemes, Supervisor
    Type
    PDF

  15. 8 April 2024

    Standard Conditions for Crowd Funding

    If you are granted a crowdfunding service licence, the licence will be subject to these standard conditions.
    Tags
    Crowdfunding providers, Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF