Document Library

AIA New Zealand Ltd - Judgment

AIA fined $700K by Auckland High Court for false or misleading representations to customers, per FMA enforcement, Sept 2022.

Catalist market operator obligations review 2022

This report covers the first market obligations review for Catalist, and covers the period from 21 June 2021, the licence commencement date, to 31 March 2022, the end of Catalist’s first reporting period.

FMA Investor checklist

World Investor Week investing plan checklist.

Feedback form Client money and property service guidance

Feedback form for consultation client money and property services guidance.

Consultation paper Client money or property service provider guidance

Consultation on proposed guidance on the obligations for client money or property service providers.

WIW2022 Website banners

World Investor Week 2022 promotion materials. This zip file includes website banners

WIW 2022 Social tiles

World Investor Week 2022 social tiles for sharing purposes.

WIW2022 Logos

World Investor Week 2022 promotion materials. This zip file includes logos

Proposed annual regulatory return information to be provided by licensed CLASS 3 FAPs to the FMA (questions)

Proposed annual regulatory return information to be provided by licensed CLASS 3 Financial advice providers (FAPs) to the FMA

Feedback form regulatory returns for licensed Class 3 financial advice providers

Feedback form for public consultation on the proposed regulatory returns that licensed Class 3 financial advice providers will be required to provide to the FMA

Consultation paper on proposed Regulatory returns for licensed Class 3 financial advice providers

Public consultation on the proposed regulatory returns that licensed Class 3 financial advice providers will be required to provide to the FMA

Financial Markets Conduct NZX NZ Markets Disciplinary Rules Approval of Rule Change Notice 2022

This notice is the Financial Markets Conduct (NZX NZ Markets Disciplinary Tribunal Rules) Approval of Rule Change Notice 2022.

Wisdom House and Yuen Pok (Paul) Loo - Stop Order

The permanent stop order that applies to Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo, after they engaged in misleading and dishonest conduct, that the FMA ordered on 31 August 2022.

Kalkine New Zealand Limited - Direction Order

FMA directs Kalkine New Zealand Limited to stop making outgoing sales calls to people in New Zealand following concerns about the entity’s misleading marketing conduct. 10 August 2022.

FMA Annual Corporate Plan 2022-2023

Our Annual Corporate Plan 2022-2023 provides details of the FMA’s priority outcomes and intended programme of work for the financial year.

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