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    25 September 2012

    Financial Markets Authority AFA Update: Issue # 8

    AFA Questionnaire - final day to respond is Friday 28 September 2012 We've emailed all AFAs a questionnaire seeking input on how financial adviser regulation has impacted your business. We've been really encouraged by the high level of interest and to date we've had over 700 responses. Thank you for this input. Remember if you haven't yet responded the deadline is Friday 28 September 2012. Please take this opportunity to have your say. Complaints - offering 'AFA' services We often receive com...

    https://www.fma.govt.nz/news-and-resources/fma-update/afa-update-archive/financial-markets-authority-afa-update-issue-8/

    • Investigations
    • Enforceable action
    • FMA Act

    13 December 2011

    Kiwi Finance Limited - Enforceable undertaking

    This undertaking by Kiwi Finance directors(Rhys Anthony Greensill, Rodney Seymour Roberts Greensill, Barry Noel Lambert and Christopher Bruce Simkin) was accepted by FMA to conclude its civil claim investigations after Kiwi Finance went into receivership in April 2008. It resulted in full restitution of investors' funds, together with an enforceable undertaking from the Directors. Read more.

    https://www.fma.govt.nz/news-and-resources/cases/kiwi-finance/

  1. 24 September 2019

    Overseas advisers & overseas clients

    The Financial Advisers Act applies to all financial advice received by clients in New Zealand, including advice provided by advisers based overseas. Certain sections of the Act also apply to New Zealand-based advisers giving advice to overseas clients. These include the obligation to act with care, diligence and skill and not to act in a misleading or deceptive manner.

    https://www.fma.govt.nz/compliance/licensing-and-registration/afas/overseas-advisers-and-overseas-clients/

    • KiwiSaver and superannuation

    1 February 2015

    Certification process for registration of new KiwiSaver, superannuation and workplace savings schemes

    FMA certification process for the registration of new KiwiSaver superannuation and workplace savings schemes information sheet outlines the process for getting a certificate from the FMA to apply for registration of a new KiwiSaver, superannuation or workplace savings scheme..

    https://www.fma.govt.nz/compliance/guidance-library/certification-process-for-registration-of-new-kiwisaver-superannuation-and-workplace-savings-schemes/

    1 October 2002

    Securities Act (Authorised Futures Contracts)

    Securities Act (Authorised Futures Contracts) Exemption Notice 2002 This notices replaces the Securities Act (Authorised Futures Contracts) Exemption Notice 1997 (the 1997 notice). It carries forward the provisions of the 1997 notice without any change of substance, but with certain drafting changes which reflect current drafting practice. Context An authorised futures contract is a futures contract which is made on or through an authorised futures exch...

    https://www.fma.govt.nz/compliance/exemptions/current-exemption-notices/expired-exemptions/securities-act-authorised-futures-contracts-2/