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This document is for financial advice providers, financial advisers, and other interested parties. It discusses the regulatory reporting requirements as required by Standard Condition 3 for licensed financial advice providers.
Submissions report following the consultation for Accounting records guidance.
Guidance and expectations to help FMC reporting entities to meet their statutory requirement to keep proper accounting records at all times.
Summary of feedback themes, along with our response and individual submissions, from our consultation on the draft guidance on reasonable grounds for financial advice about financial products
This guidance explains our approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services (the Code), in relation to financial advice about financial products purchased for investment purposes. It is particularly relevant to situations where it is difficult or impractical to access information to support reasonable grounds for financial advice on an investment product.
This notice is the Financial Markets Conduct (NZX Listing Rules) Approval of Rule Change Notice 1/2023. This notice comes into force on 31 January 2023. This notice approves amendments to the NZX Listing Rules. The amendments relate primarily to the NZX Corporate Governance Code (the Code), contained at Appendix 1 to the Listing Rules.
Feedback Form for Consultation paper Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements
We are reviewing whether to renew for a further five years an existing class exemption notice that allows product disclosure statements to be provided in full in both te reo Māori and English (dual language PDSs).
This is the FMA 2021/2022 annual report. Our annual reports detail the results we have achieved against our stated intentions. Our annual reports are a great way to review our operational highlights for each financial year.
The FMA commissioned FiftyFive5 to conduct research among key stakeholders to understand the effectiveness of their interactions with the FMA and satisfaction with the services provided. This is the seventh year (2022) this stakeholder research has been conducted.
This document contains the questions you will be asked when applying for a Class 3 Financial Advice Provider full licence.
Trustees Executors Limited is licensed to act as supervisor for debt securities, registered schemes, and retirement villages in New Zealand.
Public Trust is licensed to act as supervisor for debt securities, registered schemes, and retirement villages in New Zealand.
The Wellington High Court has ordered Cigna Life Insurance New Zealand Limited to pay a final pecuniary penalty of $3,575,000.
Disclose Register KiwiSaver fund update for the period ending 31 December 2022.