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Document Library

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

Found 1609 results. Displaying page 41 of 108

  2. 31 July 2020

    Expense Disclosure CE gifts Jun 2020

    CE gifts and benefits disclosure for the period 1 January 2020 - 30 June 2020.
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  4. 26 July 2020

    Our immediate priorities during the COVID 19 response and recovery

    This information sheet outlines the FMA’s immediate priorities as New Zealand continues to respond to the COVID-19 pandemic, showing how we will support that response and recovery, while also ensuring financial service providers support their customers and investors. The information sheet was published in July 2020 and updated in June 2021.
    Tags
    COVID-19, FMA, News & Insights
    Type
    PDF, Information Sheet

  7. 14 July 2020

    Class legislative notice summary 2020

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 30 June 2020. It includes exemptions, designations, frameworks or methodologies, and public accountability notices
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  9. 9 July 2020

    Consultation review of 16 class exemptions notices expiring in 2021

    We are seeking feedback on our review of 16 class exemption notices that support the regime under the Financial Markets Conduct Act 2013 (FMC Act). These notices will expire between August and December 2021.
    We would like feedback to inform our review of these class notices.
    Tags
    Consultations, FMC Act, Legislation, Business
    Type
    PDF

  10. 9 July 2020

    High Risk Jurisdictions subject Call for Action FATF July2020

    FATF describes high-risk jurisdictions subject to a “Call for Action” as having significant strategic deficiencies in their regimes to counter money laundering, terrorist financing, and financing of proliferation. Two countries are on this high-risk list: North Korea and Iran.
    Tags
    AML/CFT, Roles, Business
    Type
    PDF

  14. 1 July 2020

    Registering correctly on the FSPR

    The new financial advice regime requires you to update your details on the public register of financial service providers (FSPR). This register is located on the Companies Office website. How you update your registration on the FSPR will depend on how you plan to operate in the new regime. This fact-sheet explains what you need to know.
    Tags
    New Financial Advice regime, Client money or property services provider, Roles, Financial Advice Provider, FSPR, Licensing & registration, Business
    Type
    PDF, Information Sheet

  15. 1 July 2020

    culwalla consulting submission

    Response to Consultation Paper - Culwalla Consulting:
    Practical implications of Reporting Entities transacting with other Reporting Entities and the Factsheet on Managing Intermediaries.
    Tags
    Consultations, Business
    Type
    PDF