Document Library

Authorised Bodies Climate Reporting Entities Flow Chart

This flowchart can be used to determine if an authorised body is a climate reporting entity.

Wei (Walker) Zhong and Lei (Regina) Ding - Judgment

High Court Judgment: Wei (Walker) Zhong and Lei (Regina) Ding have been found to have contravened the Financial Markets Conduct Act 2013 in relation to the trading of Oceania Natural Limited (ONL) shares.

Peer-to-Peer lending and Crowdfunding: sector snapshot

Crowdfunding and Peer-to-Peer sector report for the 2022 period.

Exemption Notice - Financial Markets Conduct (New Zealand Local Government Funding Agency Limited Sustainable Financing Bond Offer)

Financial Markets Conduct (New Zealand Local Government Funding Agency Limited Sustainable Financing Bond Offer) Exemption Notice 2023

Prosecution policy

This prosecution policy (the Prosecution Policy) sets out the specific decision-making criteria to be applied when considering criminal prosecution

Content and form of Disclose register information guidance

This guidance note is for Issuers and advisers who are required to produce a register entry for an offer of financial products under the FMC Act 2013. It gives guidance on matters the FMA recommends you consider when producing your register entry.

AIA New Zealand Limited - Admission and statement of facts

AIA admission and statement of facts.

AIA - Settlement Agreement and schedules

AIA settlement agreement final for execution including schedules.

Vanguard Investments Australia Limited - Formal Warning

FMA warns Vanguard for failing to lodge enforcement notice on the Disclose Register within required timeframe under NZ’s FMC Regulations.

How the FAP licence classes compare

FMA guide compares Class 1, 2, and 3 FAP licences to help financial advisers choose the right licensing option for their business.

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.

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