Document Library

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

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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.

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.

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.

Questions for FAP Class 2 regulatory returns

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

Consultation FAP Class 2 regulatory returns

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

Consultation FAP Regulatory Returns Class 1

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

Climate risks and the impact on financial statement audits

This document provides clarity for auditors about the expectations for information about climate risks in audit files.

KiwiSaver Annual Report 2022

KiwiSaver Annual Report published by the FMA 2022.

Feedback form accounting records consultation

Feedback form: consultation proposed guidance for keeping proper accounting records.

Consultation paper guidance accounting records

Consultation paper: Proposed guidance and expectations for keeping proper accounting records

Climate related disclosure Record keeping initial monitoring approach

FMA's initial monitoring approach for climate-related record keeping - to inform and support new climate reporting entities to meet their statutory reporting requirements.

AIA New Zealand Ltd - Judgment

AIA fined $700K by Auckland High Court for false or misleading representations to customers, per FMA enforcement, Sept 2022.

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