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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.
Financial Markets Conduct Exemption Notice 2020 - FNZ Group.
Snapshot of the FMA Annual Report 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.
This notice is the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.
Find out who needs a licence to give financial advice in NZ, with info on transitional and full FAP licences, duties, and exemptions.
Financial Markets Conduct Exemption Notice 2020 - ICAP Brokers Pty Limited and ICAP New Zealand Limited.
Settlement Agreement with ANZ Bank New Zealand Limited, 25 November 2020.
Consultation - Proposed guidance: advertising offers of financial products under the Financial Markets Conduct Act 2013.
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.
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.
Financial Markets Conduct Exemption Notice 2020: Insider Trading - Fonterra Co-operative Group Limited
The Audit Quality Directors Guide 2020 handbook is aimed at directors of FMC reporting entities. It sets out how you, as a director, can contribute to the quality of your audit, as well as what you can expect from the FMA and your auditor.
OIA response, dated 12 November 2020, questions asked around the policies, documents, communications and number of cases / prosecutions the FMA has assessed between 1 July 2017 - 12 November 2020