Document Library

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

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Found 1757 results. Displaying page 35 of 118

20 October 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.
20 October 2022

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.
20 October 2022

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.
20 October 2022

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.
20 October 2022

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.
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