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This consultation is for any person giving regulated financial advice or providing client money or property services, and their advisers and interested parties. It seeks feedback on proposed exemption support for the new financial advice regime.

The AML/CFT supervisors have become aware of the need for clear guidance on the use of expired passports as part of Customer Due Diligence procedures and how it relates to the Amended Identity Verification Code of Practice 2013 (‘the code’).

OIA response, dated 1 August 2019, which looked at the investigation by the FMA in 2012-2013 into banks marketing, promoting and selling interest rate swaps between 2005 and 2009. As well as complaints surrounding interest rate swap and the final settlement number with the banks.

CE expenses disclosure for the period 1 January 2019 - 30 June 2019.

CE expenses disclosure for the period 1 January 2019 - 30 June 2019

This guide is for foreign passport fund operators wanting to offer interests in regulated collective investment schemes (CIS) in New Zealand under the Asia Region Funds Passport regime.

This Annual Corporate Plan sets out our activities that will promote our strategic priorities, address regulatory risks and harms, and deliver sector outcomes. This plan should be read alongside our Strategic Risk Outlook (see below), which provides our medium-term view of the most significant risks to and opportunities for promoting fair, efficient and transparent financial markets.