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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.

Reasonable grounds for financial advice about financial products - submissions report

Summary of feedback themes, along with our response and individual submissions, from our consultation on the draft guidance on reasonable grounds for financial advice about financial products

Reasonable grounds for financial advice about financial products - guidance

This guidance explains our approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services (the Code), in relation to financial advice about financial products purchased for investment purposes. It is particularly relevant to situations where it is difficult or impractical to access information to support reasonable grounds for financial advice on an investment product.

Financial Markets Conduct - NZX Listing Rules Approval of Rule Change Notice 2023

This notice is the Financial Markets Conduct (NZX Listing Rules) Approval of Rule Change Notice 1/2023. This notice comes into force on 31 January 2023. This notice approves amendments to the NZX Listing Rules. The amendments relate primarily to the NZX Corporate Governance Code (the Code), contained at Appendix 1 to the Listing Rules.

Feedback Form for Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements

Feedback Form for Consultation paper Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements

Consultationpaper: 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 in full in both te reo Māori and English (dual language PDSs).

FMA Annual Report 2022

This is the FMA 2021/2022 annual report. Our annual reports detail the results we have achieved against our stated intentions. Our annual reports are a great way to review our operational highlights for each financial year.

Ease of Doing Business Survery 2022

The FMA commissioned FiftyFive5 to conduct research among key stakeholders to understand the effectiveness of their interactions with the FMA and satisfaction with the services provided. This is the seventh year (2022) this stakeholder research has been conducted.

FAP Licensing Application Guide Class 3 questions

This document contains the questions you will be asked when applying for a Class 3 Financial Advice Provider full licence.

Supervisor Licence Certificate - Trustees Executors Limited

Trustees Executors Limited is licensed to act as supervisor for debt securities, registered schemes, and retirement villages in New Zealand.

Supervisors Licence Public Trust

Public Trust is licensed to act as supervisor for debt securities, registered schemes, and retirement villages in New Zealand.

Cigna Life Insurance New Zealand Ltd - Judgment

The Wellington High Court has ordered Cigna Life Insurance New Zealand Limited to pay a final pecuniary penalty of $3,575,000. 

31 December 2022 Disclose Register KiwiSaver fund updates

Disclose Register KiwiSaver fund update for the period ending 31 December 2022.

Bruce Allan Baillie - NZICA decision on appeal

NZICA Bruce Allan Baillie decision on appeal.

Wynyard Group - NZICA decision on appeal

NZICA has released its disciplinary decisions arising from the 2015 PwC audit of the formerly NZX-listed Wynyard Group.

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