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Financial Institutions Submissions report standard conditions

Collation of written feedback received as part of the FMA’s public consultation on the proposed standard conditions for financial institution licences.

Consultation summary - summary of key themes standard conditions for Financial Institutions

Summary of the key themes presented during the consultation of financial institution standard conditions for licensing.

Financial Institutions Regulatory Impact Statement (RIS) standard conditions

This document is for financial institutions, their advisers, and interested parties. It discusses standard conditions for financial institution licences.

Fair Conduct Programmes information sheet

This information sheet provides information and examples to help entities establish, implement and maintain their fair conduct programmes (FCPs). It will be useful for entities holding or applying for a licence to act as a financial institution under the Financial Markets Conduct Act 2013 (FMC Act), and anyone involved in establishing, implementing and maintaining an FCP.

Exemption Notice - Financial Markets Conduct Irish UCITS

This notice is the Financial Markets Conduct (Irish UCITS) Exemption Notice 2022

Supervisor licence Anchorage Trustee Services Limited

Anchorage Trustee Services Limited is licensed to act as a statutory supervisor for retirement villages in NZ under the Financial Markets Supervisors Act.

Audit Quality Monitoring Report 2022

The Audit Quality Monitoring Report for 1 July 2021 – 30 June 2022. This this year’s report emphasises that high-quality audits are vital to ensuring investors can make active choices based on clear, concise, and effective information.

30 September 2022 Disclose Register KiwiSaver fund updates

Disclose Register KiwiSaver fund update for 30 September 2022

Exemption Notice - Financial Markets Conduct (ANZ Group Holdings Limited)

Financial Markets Conduct (ANZ Group Holdings Limited) Exemption Notice 2022

Wolfbrook Capital Limited - Formal Warning

The FMA issued a formal warning to Wolfbrook Capital Limited following concerns that they may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to.

E+O Property Syndication Limited - Formal Warning

FMA formally warns E+O Property Syndication for possibly misusing the wholesale investor exclusion and failing to meet disclosure obligations.

Du Val Capital Partners Limited and Du Val BTR GP Limited - Formal Warning

FMA warns Du Val firms for improper use of wholesale investor exclusion, citing incomplete certificates under FMCA Part 3.

Jasper NZ Investments Limited - Formal Warning

FMA warns Jasper NZ Investments for potentially misusing the wholesale investor exclusion and failing to provide required disclosures to investors.

Williams Corporation Capital Partnership GP Limited - Formal Warning

The FMA issued a formal warning to Williams Corporation Capital Partnership GP Limited following concerns that it may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to.

Provincia Property Fund Limited - Formal Warning

FMA warns Provincia Property Fund for potentially misusing the wholesale investor exclusion and failing to disclose to investors under the FMC Act.

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