Back

Document Library

A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1616 results. Displaying page 30 of 108

  1. 12 October 2021

    Advertising offers of financial products under the FMC Act guidance

    This guidance focuses on the application of the fair dealing provisions in Part 2 of the FMC Act to communications made for the purposes of advertising or promoting offers of financial products (advertising). This guidance also covers the application of the specific advertising provisions in Part 3 of the FMC Act for regulated offers of financial products.
    Tags
    Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Financial Advice Provider, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    PDF

  6. 6 October 2021

    Persons spreadsheet - Supporting document for Auditors

    Persons spreadsheet - Supporting document for Auditors. Complete the relevant columns giving a list of all partners indicating those who are members of a professional body and those who hold practising certificate, the name and website address of the professional body and a link to, any publicly available online register of members published by the body.
    Tags
    Authorised body under a FAP, Roles, Business
    Type
    Spreadsheet, Submission form

  8. 4 October 2021

    Self assessment tool cyber security and BCP

    Planning for all types of risk is an essential part of any business. As a financial advice provider, clients rely on you to ensure their information is secure, confidential, and available at all times. By taking the time to prepare for the unexpected, you’ll be able to get back on your feet quickly, protecting both your clients and your business.
    Use this self-assessment tool to see if you’re ready to complete the cyber security and business continuity planning section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply. *
    Tags
    Financial Advice Provider, Licensing & registration, Roles, Business
    Type
    PDF

  12. 29 September 2021

    AML/CFT monitoring insights report 2021

    Insights from the FMA’s monitoring of New Zealand’s anti-money laundering and countering financing of terrorism measures by FMA reporting entities from 1 July 2018 – 30 June 2021
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    PDF, Report

  13. 24 September 2021

    KiwiSaver Annual Report 2021

    The report details the principal matters transacted under the Act during the year ended 30 June 2021, and contains the
    sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.
    Tags
    Reports and Papers, KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business, News & Insights
    Type
    PDF

  14. 23 September 2021

    OIAP Short selling of shares

    OIAP Response dated 23 September 2021, Short selling of shares - Request asking if the FMA investigated short selling of industry shares impacted by Covid
    Tags
    Type
    PDF, OIA

  15. 21 September 2021

    Review of credit card repayment insurance products

    In our 2019 Life Insurer Conduct and Culture review, we found that “certain products often provided poor value, and consequently poor outcomes for customers, because of limited benefits, and misunderstanding of coverage and eligibility”.
    We carried out this additional review to gain a better understanding of the suitability of CCRI for consumers.
    While most providers have withdrawn CCRI products from sale, there are still several hundred thousand existing policies, whose holders may not need or understand the product and are at risk of experiencing poor outcomes if they need to make a claim.
    Tags
    Roles, Financial Institutions, Business
    Type
    PDF, Report