Document Library

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.

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.

WIW 2021 Resource pack

Campaign resource kit for participants in World Investor Week 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.

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

Exemption notice - Genworth Financial Mortgage Insurance Pty Limited

Financial Markets Conduct (Genworth Financial Mortgage Insurance Pty Limited) Exemption Notice 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.

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

Feedback form Proposed financial reporting exemptions for insolvent FMC entities

Feedback form: Proposed financial reporting exemptions for insolvent FMC entities

Consultation Proposed financial reporting exemptions for insolvent FMC entities

Domain Name Commission Limited - MOU

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

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

CE Expense Disclosure, Gifts for Jan - Jun 2021

CE Expense Disclosure, Hospitality for Jan - Jun 2021

CE Expense Disclosure, Other for Jan - Jun 2021

Looking for information?

Document Library