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  3. 14 December 2020

    Disclosure framework for integrated financial products

    This document gives guidance on the advertising and disclosure expectations of the Financial Markets Authority in respect of financial products that incorporate non-financial factors.
    Tags
    Offer information, Roles, Offers of financial products, Business
    Type
    Page, Guidance

  4. 11 December 2020

    Jasper NZ Investors Nominee Limited

    Jasper NZ Investors Nominee Limited is an AML/CFT reporting entity
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page

  5. 11 December 2020

    Consultation paper: Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms Notice 2020

    The FMA issued the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012 (the Notice) on 18 April 2012, and (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Amendment Notice 2015 (the Amendment) on 9 November 2015.
    Tags
    Auditors, Consultations, Roles, Business
    Type
    Page

  7. 10 December 2020

    Sophisticated gold scam targets Kiwi investors

    Sophisticated offshore scammers used radio ads and an 0800 number to dupe Kiwi investors and while one woman was warned off by her local bank, it’s feared others may have actually lost money.
    Tags
    Investing, Article, Consumer, Scams
    Type
    Page

  8. 10 December 2020

    FMA issues formal warning for market manipulation

    The Financial Markets Authority (FMA) has issued a formal warning to an individual for conduct that was likely to have amounted to market manipulation.
    Tags
    Cases, Compliance, Shares, Ways to invest, Investing, Media release, Business, Consumer, FMA, News & Insights, Enforcement
    Type
    Page

  9. 10 December 2020

    Providing overseas firms’ research reports to retail clients

    Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 (FMC Act) from 15 March 2021.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance

  12. 9 December 2020

    Overseas research reports 2020

    Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 from 15 March 2021.
    Tags
    Reports and Papers, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Directors, Financial Advice Provider, Financial Adviser, Roles, Business, News & Insights
    Type
    PDF

  13. 9 December 2020

    Ease of doing business survey report 2020

    The FMA commissioned Buzz Channel to conduct research
    among key stakeholders to understand the effectiveness of
    interactions FMA has with stakeholders and satisfaction with
    the service it provides. This is the 2020 report.
    Tags
    Reports and Papers, News & Insights
    Type
    PDF, Research

  15. 9 December 2020

    Consultation Standard conditions FAP submissions combined part one

    Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.
    Tags
    Financial Advice Provider, Consultations, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF