Document Library | Financial Markets Authority

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

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Exemption Notice - Financial Markets Conduct (ANZ Group Holdings Limited)

Financial Markets Conduct (ANZ Group Holdings Limited) Exemption Notice 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.

Williams Corporation Capital Partnership GP Limited - Formal Warning

The FMA issued a formal warning to Williams Corporation Capital Partnership GP Limited following concerns that it 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.

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.

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.

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.

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.

Thematic review of use of the wholesale investor exclusion

Findings from the FMA’s thematic review of wholesale offers of financial products, along with guidance for offerors and those who provide confirmation for eligible investor certificates. Published 20 October 2022.

How to cancel your FMC Act licence

FMA guide on cancelling a Financial Markets Conduct Act licence, outlining required steps, information, and ongoing obligations.

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.

Questions for FAP Class 2 regulatory returns

Questions you will be asked online when you submit your FAP Class 2 regulatory return.

Feedback form FAP Regulatory Returns Class 1 Consultation

Feedback form for proposed regulatory returns for licensed Class 1 financial advice providers (FAPs)

Feedback form FAP Class 2 Regulatory Returns consultation

Feedback form for consultation - Class 2 FAP regulatory returns.

Consultation FAP Regulatory Returns Class 1

This consultation document is intended for Class 1 licensed financial advice providers (FAPs).

Consultation FAP Class 2 regulatory returns

This consultation is intended for Class 2 licensed financial advice providers (FAPs).