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Found 135 results. Displaying page 6 of 9

1. 8 May 2023

   Supervisor Licence - the new zealand guardian trust company limited

   This licence certificate is to certify that The New Zealand Guardian Trust Company LImited, FSP33501 is licenced as a Supervisor in respect of debt securities and registered schemes in New Zealand.

2. 18 June 2020

   Auditor Regulation and Oversight Plan 2020 2023

   This report summarises our plan relating to auditor oversight, as part of our obligation under section 52 of the Auditor Regulation Act 2011. The report is for the 2020-2023 period.

3. 30 May 2025

   AML CFT Guideline Customer Risk Rating

   This guide is for financial institutions that operate as providers of online marketplaces. It explains how to comply with the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009.

4. 11 July 2022

   Class legislative notice summary 2022

   This is a summary of the Financial Markets Conduct Act class legislative notices we have granted as at 1 June 2022. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.

5. 16 June 2021

   Licensing interposed persons and engaged entity arrangements information sheet

   This information sheet sets out FMA’s approach to licensing financial advice arrangements and provides guidance on circumstances where an engaged entity or interposed person won’t need to be licensed as a FAP.

6. 1 November 2018

   Determining whether you are acquiring a business or assets guidance

   This guidance sets out our view of what constitutes a ‘business’ for these purposes, as opposed to an asset. It also sets out additional information issuers should consider disclosing for asset acquisitions.

7. 1 November 2021

   Self assessment tool key outsourcing arrangements

   As a small business, we expect you’ll need to outsource some functions to third parties. It’s important that you protect your reputation and your clients by conducting robust background checks, putting contractual agreements in place, and performing regular reviews to ensure suppliers of key functions are up to the task and can meet your expectations and Financial Advice Provider (FAP) obligations. As a FAP, you remain responsible for any functions that you outsource.

8. 17 May 2016

   Exemption notice - some property schemes

   The FMA believes that property schemes generally can and should comply with the same licensing and governance requirements under the FMC Act as other managed investment schemes (MIS). However given the characteristics of property schemes, we recognise that full compliance with some specific requirements may be unnecessary, and the cost is likely to outweigh benefits for investors. As a result, we have approved class exemptions for property schemes and their custodians to address these matters.

9. 26 June 2023

   CoFI intermediated distribution submissions report

   Submissions report: Proposed guidance on CoFI intermediated distribution. Collation of written feedback received as part of the FMA’s public consultation on the proposed CoFI (Conduct of Financial Institutions) guidance note on intermediated distribution.

10. 4 October 2019

    KiwiSaver Annual Report 2019

    The FMA publishes a report every year based on all providers’ statutory data for the year to the end of March. It summarises our activities as a regulator relating to KiwiSaver during the reporting period.

11. 26 June 2024

    Statement of Intent 2024 to 2028

    The SOI provides a four-year outlook on the performance measures that we will use to demonstrate progress towards our strategic intentions (alternatively referred to as strategic objectives), spanning 1 July 2024 to 30 June 2028.

12. 2 August 2023

    Class legislative notices summary 2023

    This is a summary of the Financial Markets Conduct Act class legislative notices we have granted (and are in force) as at 1 June 2023. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.

13. 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

14. 6 November 2019

    Class legislative notice summary 2019

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 30 October 2019. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.

15. 3 July 2018

    Class legislative notice summary 2018

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 2 July 2018. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.