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Document Library

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

Found 1616 results. Displaying page 31 of 108

  2. 14 September 2021

    Exemption Notice - BNP Paribas

    Financial Markets Conduct (BNP Paribas S.A.) Exemption Notice 2021.
    Tags
    Exemptions, Business
    Type
    PDF

  3. 13 September 2021

    OIAP Law Commission submission

    OIAP response dated 13 September 2021, Law Commission submission - Request regarding a submission to Law Commission review into class actions and litigation funding
    Tags
    Type
    PDF, OIA

  4. 13 September 2021

    Samantha Barrass bio

    Bio for Samantha Barrass who is appointed the new Chief Executive of the FMA, beginning her role in early 2022.
    Tags
    FMA executive team, FMA
    Type
    PDF

  5. 7 September 2021

    OIAP Insider trading misconduct statistics

    OIAP response dated 7 September 2021, Insider trading misconduct statistics - A request for statistics relating to insider trading misconduct
    Tags
    Type
    PDF, OIA

  7. 6 September 2021

    COVID19 - Vaccination Information privacy notice for FMA Visitors

    The FMA’s approach to managing the COVID-19 pandemic is to protect the health, safety and welfare of our staff, their families and whānau, our visitors and to maintain our ability to continue delivering services.
    Tags
    COVID-19, FMA, News & Insights
    Type
    PDF, Notice

  8. 1 September 2021

    FAP Licensing Application Guide Class 2 questions

    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. It should be read alongside our guide to full licensing.
    Tags
    Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  9. 1 September 2021

    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.
    Tags
    Banking, Conduct, Roles, Business, Managed investment schemes
    Type
    PDF, Report

  10. 27 August 2021

    WIW 2021 Resource pack

    Campaign resource kit for participants in World Investor Week 2021.
    Tags
    Campaigns, Investing, Investor information, Consumer
    Type
    PDF

  11. 20 August 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.
    Tags
    AML/CFT, Roles, Business, Enforcement
    Type
    PDF

  14. 13 August 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.
    Tags
    Auditors, Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF

  15. 12 August 2021

    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 
    Tags
    Type
    PDF, OIA