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Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo - Interim Stop order

The Financial Markets Authority (FMA) has made an interim stop order that applies to Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo.

Standard Conditions - FAP licences

FMA outlines standard conditions for full FAP licences under the FMC Act, covering compliance, recordkeeping, outsourcing, and continuity.

Consultation Proposed Standard conditions FAP full licensing

Consultation: Proposed standard conditions for financial advice provider full licences and classes of financial advice service.

Direction under S513 of the ARA

FMA direction under ARA s51(3)(a) requires accredited bodies to submit annual reports by 30 Sept each year in Word format via email.

Exemption notice - Financial Markets Conduct (ANZ Bank New Zealand Limited-Offer of PPS)

Financial Markets Conduct (ANZ Bank New Zealand Limited-Offer of PPS) Exemption Notice 2022. Pursuant to section 556 of the Financial Markets Conduct Act 2013, the Financial Markets Authority, being satisfied of the matters set out in section 557 of that Act, gives the following notice.

Consumer Experience with the Financial Sector Survey 2022

The Consumer Experience with the Financial Sector survey is our inaugural, nationally representative survey of New Zealand consumers. The FMA commissioned the survey to gain a comprehensive understanding of consumer experiences with the financial sector. The research reveals insights into the mindset and motivations of consumers as they manage their money and deal with financial services firms. This research is part of a commitment by the FMA to build a better understanding of consumers to help shape our regulation of the financial sector and deliver on our objectives. The data also provides valuable insights for the financial services industry, other Government agencies and consumer bodies.

CE Expense Disclosure Gifts Samantha Barrass 25 Jan to 30 Jun 22

CE Expense Disclosure Gifts Liam Mason 1 Nov 21 to 25 Jan 22

CE Expense Disclosure Hospitality Samantha Barrass 25 Jan to 30 Jun 22

CE Expense Disclosure Other Samantha Barrass 25 Jan to 30 Jun 22

CE Expense Disclosure Summary Samantha Barrass 25 Jan to 30 Jun 22

CE Expense Disclosure Travel Samantha Barrass 25 Jan to 30 Jun 22

Ethical Investment Journey Research

This report contains findings from a qualitative study interviewing a range of New Zealanders about their experience with ethical* investments. It covers the underlying factors that drive people toward considering an ethical investment (KiwiSaver or managed fund) and their experiences of navigating the different providers and products on offer. It also provides detail on specific triggers and difficulties during people’s journey toward buying ethical investments. It covers the types of information people find most useful, challenges facing potential ethical investors, and factors providers should consider to improve people’s experience. Ethical Investment Journey Research - July 2022.

Integrated financial products Review of managed fund documentation

Findings from a review of the effectiveness of disclosure information from a sample of managed investment funds labelled or marketed as being integrated financial products (e.g. sustainable, ethical, green)

Exemption Notice - The City of London Investment Trust plc

The Financial Markets Conduct (The City of London Investment Trust plc) Exemption Notice 2022, exempts The City of London Investment Trust plc from certain financial reporting obligations in Part 7 of the Financial Markets Conduct Act 2013.

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