Finance professionals

We licence regulate and supervise financial market participants and provide guidance and information on how to comply with obligations.

Finance professionals

We licence regulate and supervise financial market participants and provide guidance and information on how to comply with obligations.

Latest updates

Speeches & presentations
22 Mar 2023
Samantha Barrass, FMA Chief Executive, keynote speech at the IFSO Conference on Fair Conduct
Samantha Barrass, FMA Chief Executive, keynote speech at the IFSO Conference on Fair Conduct at 4 Points by Sheraton, Auckland on Wednesday, 22 March ...
Consultations
14 Mar 2023
Consultation: Proposed exemptions for foreign listed issuers from climate reporting duties
The FMA is seeking feedback on the need for, and the content of, proposed exemptions for foreign exempt issuers from climate reporting duties by 5PM, ...
Consultations
13 Mar 2023
Consultation: Renewal of class exemption for MIS managers where assets do not have an appropriate market index
The FMA is seeking feedback on whether to renew a class exemption for MIS managers where assets do not have an appropriate market index.
Consultations
03 Mar 2023
Consultation: AML/CFT Act - Draft regulations public consultation
Consultation published by The Ministry of Justice (the Ministry) on proposed changes to regulations made under the Anti-Money Laundering and Counterin ...
Consultations
20 Feb 2023
Consultation: Proposed CoFI guidance note on intermediated distribution
This consultation seeks feedback on proposed guidance that outlines our expectations when financial institutions are distributing products and service ...
Guidance
14 Feb 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.
Consultations
03 Feb 2023
Consultation: Proposed guidance on reasonable grounds for financial advice about IPOs and listed equity securities
We have now published our guidance on reasonable grounds for financial advice about financial products, along with a compilation of responses to our c ...
Guidance
03 Feb 2023
Reasonable grounds for financial advice about financial products
Guidance on the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relat ...
Consultations
31 Jan 2023
Consultation: Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements
We are reviewing whether to renew for a further five years an existing class exemption notice that allows product disclosure statements to be provided ...
Research
24 Jan 2023
Ease of Doing Business Survey
This research helps us to better understand the impact that our work has on market participants and stakeholders. It informs the way we work and our f ...
Reports and papers
19 Jan 2023
Managed Investment Scheme – Sector Risk Assessment
This sector risk assessment (SRA) identifies some areas in the Managed Investment Schemes (MIS) sector the FMA considers to be higher risk.
Reports and papers
15 Dec 2022
ASX 24 review report
The FMA is required to report at least once every two years on how well Australian Securities Exchange Limited (ASX 24) is meeting its licensed market ...

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Related content

Climate related disclosures

The New Zealand government has introduced a new regime making climate-related disclosures mandatory for some organisations. 

Conduct of Financial Institutions (CoFI) legislation

The Financial Markets (Conduct of Institutions) Amendment Act 2022 amends the Financial Markets Conduct Act 2013 to ensure certain financial institutions treat consumers fairly.

 

Consultation: Proposed standard conditions for financial institution licences

Provide feedback: We are considering imposing six standard conditions on financial institution licences.