Document Library

Disclosure framework for integrated financial products

The disclosure framework for integrated financial services guidance note 2020 is relevant to issuers of financial products that incorporate non-financial factors.

Submissions on the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020 - summary of key themes

Summary of key themes: Submissions on the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.

Consultation Standard conditions FAP consultation submissions combined part three

Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service - summary of key themes.

Exemption Notice - FNZ Group 2020

Financial Markets Conduct Exemption Notice 2020 - FNZ Group.

Ease of doing business survey report 2020

The FMA commissioned Buzz Channel to conduct research among key stakeholders to understand the effectiveness of interactions FMA has with stakeholders and satisfaction with the service it provides. This is the 2020 report.

Consultation Standard conditions FAP submissions combined part one

Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.

FMA Annual Report Snapshot 2020

Snapshot of the FMA Annual Report 2020

Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service - summary of key themes

Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service

Consultation Standard conditions FAP submissions combined part two

Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.

Overseas research reports 2020

Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 from 15 March 2021.

Auditor Regulation Act Notice 2020

This notice is the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.

Who will need a licence to provide financial advice

Find out who needs a licence to give financial advice in NZ, with info on transitional and full FAP licences, duties, and exemptions.

Exemption Notice - ICAP Brokers

Financial Markets Conduct Exemption Notice 2020 - ICAP Brokers Pty Limited and ICAP New Zealand Limited.

ANZ - Settlement Agreement

Settlement Agreement with ANZ Bank New Zealand Limited, 25 November 2020.

Looking for information?