Document Library

Consultation for exemption to enable personalised digital advice submissions report

A summary of submissions on the second consultation on the exemption to enable personalised digital advice.

RIS Exemption to enable personalised digital advice 2018

This regulatory impact statement (RIS) is for financial adviser entities, advisers, and other interested parties. It discusses an exemption to enable the provision of personalised digital advice services.

Conduct Outcomes Report 2017

The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017. It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018.

Fonterra Shareholders - Approval of Rule Change Notice 2018

The notice approves changes to the FSM Rules that were provided to the FMA by NZX for approval on 22 Dec 2017. These changes will be incorporated into the FSM Rules at a future date to be determined by the NZX.

Expense disclosure CE Other July to December 2017

CE expenses disclosure for the period 1 July 2017 - 31 December 2017

Exemption notice - Australian Qualified Financial Advisers

Financial Advisers (Australian Qualified Advisers) Exemption Notice 2018.

Exemption Notice - trueEX LLC

Financial Markets Conduct Exemption Notice 2018 - trueEX LLC.

New Zealand Police - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and New Zealand Police

Designation Amendment Notice MIPs

Financial Markets Conduct (Shares in Investment Companies) Designation Amendment Notice 2018

Designation of certain shares in investment companies as managed investment products information sheet

This information sheet explains the class notice which designates certain shares in investment companies as managed investment products, and the company which issues them as a managed investment scheme.

AML/CFT Guide for small financial adviser businesses

This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).

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