Document Library

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

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6 September 2021

COVID19 - Vaccination Information privacy notice for FMA Visitors

The FMA’s approach to managing the COVID-19 pandemic is to protect the health, safety and welfare of our staff, their families and whānau, our visitors and to maintain our ability to continue delivering services.
1 September 2021

Customer vulnerability – our expectations for providers

Customer vulnerability – our expectations for providers. This information sheet explains the FMA’s expectations for financial services firms to prioritise their customer vulnerability practices, focusing on areas we consider immediate priorities, updated Sept 2021.
1 September 2021

FAP Licensing Application Guide Class 2 questions

This document contains the questions you will be asked when applying for a Class 2 Financial Advice Provider full licence.
27 August 2021

WIW 2021 Resource pack

Campaign resource kit for participants in World Investor Week 2021.
20 August 2021

Sharesies Limited - Formal Warning

FMA issued a formal warning to Sharesies Limited and Sharesies Nominee Limited for failing to have sufficient anti-money laundering procedures, policies, and controls in place.
19 August 2021

COVID-19 - Exemption of persons from reguirements of the Publich Health Response

Gazette notice issued by the Ministry of Health indicating which businesses can operate at Level 4, COVID-19
16 August 2021

Exemption notice - Genworth Financial Mortgage Insurance Pty Limited

Financial Markets Conduct (Genworth Financial Mortgage Insurance Pty Limited) Exemption Notice 2021
13 August 2021

Standard conditions overseas audit firms

This document serves as a guide to the standard conditions attached to licences of overseas auditors operating in New Zealand.
12 August 2021

OIAP Referrals to FMA under FSP Act

OIAP response dated 12 August 2021, Referrals to FMA under FSP Act - Request for statistics relating to referrals to the FMA under the FSP Act
10 August 2021

Consultation Proposed financial reporting exemptions for insolvent FMC entities
10 August 2021

Domain Name Commission Limited - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Domain Name Commission Limited
10 August 2021

Feedback form Proposed financial reporting exemptions for insolvent FMC entities

Feedback form: Proposed financial reporting exemptions for insolvent FMC entities
2 August 2021

Online Investing inforgraphic. Based on Kantar Public research of 1900 investors using online investing platforms.

Online Investing inforgraphic. Based on Kantar Public research of 1900 investors using online investing platforms.
29 July 2021

CE Expense Disclosure, Gifts for Jan - Jun 2021

CE Expense Disclosure, Gifts for Jan - Jun 2021
29 July 2021

CE Expense Disclosure, Hospitality for Jan - Jun 2021

CE Expense Disclosure, Hospitality for Jan - Jun 2021