Document Library

A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

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Found 1769 results. Displaying page 36 of 118

20 October 2022

How to cancel your FMC Act licence

FMA guide on cancelling a Financial Markets Conduct Act licence, outlining required steps, information, and ongoing obligations.
19 October 2022

InvestNow Saving and Investment Service Limited - Warning

Formal warning from FMA to InvestNow Saving and Investment Service Limited for failing to comply with anti-money laundering.
12 October 2022

AML/CFT Designated Business Group – Scope Guideline

This guideline is designed to help reporting entities understand which obligations may be shared by members of a designated business group (DBG).
10 October 2022

Consultation FAP Class 2 regulatory returns

This consultation is intended for Class 2 licensed financial advice providers (FAPs).
10 October 2022

Consultation FAP Regulatory Returns Class 1

This consultation document is intended for Class 1 licensed financial advice providers (FAPs).
10 October 2022

Feedback form FAP Regulatory Returns Class 1 Consultation

Feedback form for proposed regulatory returns for licensed Class 1 financial advice providers (FAPs)
10 October 2022

Feedback form FAP Class 2 Regulatory Returns consultation

Feedback form for consultation - Class 2 FAP regulatory returns.
10 October 2022

Questions for FAP Class 2 regulatory returns

Questions you will be asked online when you submit your FAP Class 2 regulatory return.
5 October 2022

Climate risks and the impact on financial statement audits

This document provides clarity for auditors about the expectations for information about climate risks in audit files.
4 October 2022

KiwiSaver Annual Report 2022

KiwiSaver Annual Report published by the FMA 2022.
3 October 2022

Consultation paper guidance accounting records

Consultation paper: Proposed guidance and expectations for keeping proper accounting records
3 October 2022

Feedback form accounting records consultation

Feedback form: consultation proposed guidance for keeping proper accounting records.
30 September 2022

Climate related disclosure Record keeping initial monitoring approach

FMA's initial monitoring approach for climate-related record keeping - to inform and support new climate reporting entities to meet their statutory reporting requirements.
30 September 2022

AIA New Zealand Ltd - Judgment

AIA fined $700K by Auckland High Court for false or misleading representations to customers, per FMA enforcement, Sept 2022.
29 September 2022

FMA Investor checklist

World Investor Week investing plan checklist.