Document Library

Found 1762 results. Displaying page 31 of 118

1. 15 March 2023

   FAP licences Classes of financial advice service

   The FMA specifies three licence classes for financial advice providers (FAP): Class 1, Class 2 and Class 3. See section 395(2) of the Financial Markets Conduct Act 2013 as amended by the Financial Services legislation Amendment Act 2019 (FMC Act). Licence classes apply to the manner in which regulated financial advice may be provided but do not limit the types of financial advice that may be provided under the licence, as the latter is addressed by the competency requirements in the Code of Professional Conduct for Financial Advice Services.

2. 14 March 2023

   Consultation on proposed exemptions for foreign listed issuers

   Consultation document from the FMA iseeking feedback on the need for, and the content of, proposed exemptions for foreign exempt issuers from climate reporting duties.

3. 14 March 2023

   Feedback form Foreign listed issuers climate reporting exemptions

   Feedback form for those who wish to respond to the FMA Consultation: Proposed exemptions for foreign listed issuers from climate reporting duties.

4. 14 March 2023

   Licensing guide - FAP

   This guide is for businesses and individuals intending to apply for a Financial Advice Provider (FAP) Licence.

5. 14 March 2023

   Financial advice regime obligations

   If you provide regulated financial advice to clients you will need to fulfil a number of duties. These duties aim to ensure all New Zealanders have access to quality financial advice, and to help build public confidence in advisers – a good thing for everyone.

6. 14 March 2023

   8 steps to apply for a FAP licence

   FMA guide outlines 8 steps to apply for a Financial Advice Provider (FAP) full licence, covering licence classes, questions, and tips.

7. 13 March 2023

   Market index exemption renewal consultation paper

   Consultation document: FMA is seeking feedback on whether to renew a class exemption for MIS managers where assets do not have an appropriate market index.

8. 13 March 2023

   Market index exemption renewal feedback form

   Feedback form for consultation: FMA is seeking feedback on whether to renew a class exemption for MIS managers where assets do not have an appropriate market index.

9. 10 March 2023

   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.

10. 8 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.

11. 7 March 2023

    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.

12. 7 March 2023

    FAP regulatory returns questions Class 1

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

13. 7 March 2023

    FAP regulatory returns questions Class 2

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

14. 23 February 2023

    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.

15. 20 February 2023

    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.