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Du Val Capital Partners Limited and Du Val Group NZ Limited - Formal Warning

Formal warning issued to Du Val Capital Partners by the FMA on 10 March 2023.

KiwiSaver statistical returns user guide

User guide for KiwiSaver managers on completing the annual statistical return, covering income, fees, membership, fund data, and withdrawals.

FAP regulatory returns questions Class 2

Final regulatory return questions for Class 2 FAPs covering advice services, authorised bodies, outsourcing, complaints, and tech systems.

FAP regulatory returns questions Class 3

Final question set for Class 3 FAPs covering advice models, nominated reps, outsourcing, client property, digital advice, and cybersecurity controls.

FAP regulatory returns questions Class 1

Final question set for Class 1 FAPs detailing regulatory return requirements across advice services, complaints, outsourcing, and continuity.

Notice of approved auditing courses

FMA-approved auditing courses list for auditor licensing in New Zealand, including current and legacy qualifications from CAANZ, CPA, ICAEW, and more.

CoFI ID consultation feedback form

This consultation feedback form relates to the proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.

CoFI id guidance consultation paper

This consultation paper seeks feedback on proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.

Consultation CoFI id draft guidance

This DRAFT guidance document relates to the consultation seeking feedback on proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.

Validus - Interim Stop Order

INTERIM STOP ORDER made by the Financial Markets Authority (FMA) pursuant to section 465 of the Financial Markets Conduct Act 2013 (Act), issued to Validus.

Regulatory Impact Statement FAP Regulatory Returns

This document is for financial advice providers, financial advisers, and other interested parties. It discusses the regulatory reporting requirements as required by Standard Condition 3 for licensed financial advice providers.

Submissions report Accounting records guidance

Submissions report following the consultation for Accounting records guidance.

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.

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