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Exemption Notice - FNZ Group 2020

Financial Markets Conduct Exemption Notice 2020 - FNZ Group.

Ease of doing business survey report 2020

The FMA commissioned Buzz Channel to conduct research among key stakeholders to understand the effectiveness of interactions FMA has with stakeholders and satisfaction with the service it provides. This is the 2020 report.

Consultation Standard conditions FAP submissions combined part one

Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.

FMA Annual Report Snapshot 2020

Snapshot of the FMA Annual Report 2020

Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service - summary of key themes

Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service

Consultation Standard conditions FAP submissions combined part two

Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.

Overseas research reports 2020

Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 from 15 March 2021.

Auditor Regulation Act Notice 2020

This notice is the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.

Who will need a licence to provide financial advice

Find out who needs a licence to give financial advice in NZ, with info on transitional and full FAP licences, duties, and exemptions.

Exemption Notice - ICAP Brokers

Financial Markets Conduct Exemption Notice 2020 - ICAP Brokers Pty Limited and ICAP New Zealand Limited.

ANZ - Settlement Agreement

Settlement Agreement with ANZ Bank New Zealand Limited, 25 November 2020.

Proposed guidance on advertising offers feedback form

Consultation guidance on advertising offers

This consultation is for those involved in advertising and promoting offers of financial products, investor groups and consumer advocates. We are seeking feedback about the scope and content of the proposed guidance.

Consultation draft guidance advertising offers FMC Act

Consultation - Proposed guidance: advertising offers of financial products under the Financial Markets Conduct Act 2013.

Consumer Insights on Scams and Fraud research report 2020

The main objectives of the research report commissioned by the FMA were to Measure the level of confidence the New Zealand public have in the New Zealand financial markets; Measure perceptions and awareness of the FMA; Explore how investors and have responded to market volatility following the COVID-19 pandemic; Capture New Zealanders’ experience of investment scams.

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