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Document Library

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

Found 1611 results. Displaying page 31 of 108

  2. 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

  3. 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

  4. 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

  5. 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

  6. 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

  9. 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

  10. 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

  13. 10 August 2021

    Domain Name Commission Limited - MOU

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

  15. 2 August 2021

    Retail Investor Platforms Research

    The objectives of the research were to understand the type of profile of investors in retail platforms; their risks and behaviours within these platforms and motivations and influences that brought them to where they are. The research was conducted by Colmar Brunton in July 2021
    Tags
    Business, FMA
    Type
    PDF, Research