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Consultation paper on proposed Regulatory returns for licensed Class 3 financial advice providers

Public consultation on the proposed regulatory returns that licensed Class 3 financial advice providers will be required to provide to the FMA

Financial Markets Conduct NZX NZ Markets Disciplinary Rules Approval of Rule Change Notice 2022

This notice is the Financial Markets Conduct (NZX NZ Markets Disciplinary Tribunal Rules) Approval of Rule Change Notice 2022.

Wisdom House and Yuen Pok (Paul) Loo - Stop Order

The permanent stop order that applies to Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo, after they engaged in misleading and dishonest conduct, that the FMA ordered on 31 August 2022.

Kalkine New Zealand Limited - Direction Order

FMA directs Kalkine New Zealand Limited to stop making outgoing sales calls to people in New Zealand following concerns about the entity’s misleading marketing conduct. 10 August 2022.

FMA Annual Corporate Plan 2022-2023

Our Annual Corporate Plan 2022-2023 provides details of the FMA’s priority outcomes and intended programme of work for the financial year.

FMA organisation chart - OIA request

OIAP response dated 20 August 2021, FMA organisation charts - Request for the FMA’s current organisation chart

Banks, building societies and credit unions Climate Reporting Entities Flow Chart

This flow chart, for Banks, building societies and credit unions, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.

Licensed Insurer Climate Reporting Entities Flow Chart

This flow chart, for Licensed Insurers, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.

Listed Issuer Climate Reporting Entities Flow Chart

This flow chart, for Listed Issuers, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.

Managed Investment Scheme (MIS) Manager Climate Reporting Entities Flow Chart

This flow chart, for Managed Investment Scheme (MIS) Managers, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.

Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo - Interim Stop order

The Financial Markets Authority (FMA) has made an interim stop order that applies to Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo.

Standard Conditions - FAP licences

FMA outlines standard conditions for full FAP licences under the FMC Act, covering compliance, recordkeeping, outsourcing, and continuity.

Consultation Proposed Standard conditions FAP full licensing

Consultation: Proposed standard conditions for financial advice provider full licences and classes of financial advice service.

Direction under S513 of the ARA

FMA direction under ARA s51(3)(a) requires accredited bodies to submit annual reports by 30 Sept each year in Word format via email.

Exemption notice - Financial Markets Conduct (ANZ Bank New Zealand Limited-Offer of PPS)

Financial Markets Conduct (ANZ Bank New Zealand Limited-Offer of PPS) Exemption Notice 2022. Pursuant to section 556 of the Financial Markets Conduct Act 2013, the Financial Markets Authority, being satisfied of the matters set out in section 557 of that Act, gives the following notice.

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