Finance professionals

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

Latest updates

Reports and papers
02 Dec 2022
Accredited Body Report - CPA Australia
CPA Australia Accredited Body Report contains the findings of our monitoring assessment of CPA Australia. Read more.
Reports and papers
02 Dec 2022
Accredited Body Report – New Zealand Institute of Chartered Accountants
NZICA Accredited Body Report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA). Read mo ...
Consultations
30 Nov 2022
Consultation: Proposed standard conditions for financial institution licences
Consultation on proposed standard conditions for financial institution licences and resulting documents.
Guidance
30 Nov 2022
Fair conduct programmes
Information and examples to help banks, insurers and NBDTs establish, implement and maintain their fair conduct programmes as part of their financial ...
Consultations
23 Nov 2022
Consultation paper: Proposed financial reporting exemptions for FMC reporting entities in liquidation, receivership or voluntary administration
Consultation on proposed class relief from certain financial reporting obligations for insolvent FMC reporting entities.
Consultations
22 Nov 2022
Consultation: Potential changes to the assurance requirement in the climate-related disclosures regime
Open consultation on potential changes to the assurance requirement in the climate-related disclosures regime.
Reports and papers
16 Nov 2022
Audit Quality Monitoring Report
This year’s report emphasises that high-quality audits are vital to ensuring investors can make active choices based on clear, concise, and effectiv ...
Reports and papers
15 Nov 2022
KiwiSaver Tracker
The Kiwisaver Tracker shows the relationship between KiwiSaver funds and fees and returns for at least one year.
Guidance
09 Nov 2022
Monitoring of licensed Financial Advice Providers (FAPs)
The Monitoring of licensed Financial Advice Providers information sheet explains how we carry out monitoring activities, what we expect of you, and ...
Guidance
25 Oct 2022
AML/CFT enhanced customer due diligence guideline
The AML/CFT enhanced customer due diligence guideline assists you to conduct enhanced customer due diligence (EDD) on your customers under the Anti-Mo ...
Reports and papers
20 Oct 2022
Thematic review of use of the wholesale investor exclusion
Thematic review of wholesale offers of financial products, along with guidance for offerors and those who provide confirmation for eligible investor c ...
Consultations
10 Oct 2022
Consultation: Proposed regulatory returns for licensed Class 1 financial advice providers (FAPs)
This consultation is primarily intended for Class 1 licensed financial advice providers (FAPs).

View latest media releases

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.