Back

Search results

Found 577 results. Displaying page 38 of 39

  2. 3 August 2023

    Enforcement Policy

    Our enforcement policy is intended to guide and inform financial market participants. It is also intended to be a living policy and we may revise it from time to time according to what our objectives and priorities are. It is not exhaustive and is not binding.
    Tags
    Policy, Business, Enforcement
    Type
    Page

  3. 1 September 2011

    Identity verification - Code of Practice

    Customers of financial institutions and casinos can expect more stringent identity checks in the lead up to 30 June 2013 when anti-money laundering legislation comes fully into force. Businesses now have access to guidance on the standard those identity checks should meet.
    Tags
    Media release, News & Insights
    Type
    Page

  6. 5 October 2020

    World Investor Week 2020

    World Investor Week 2020 was jam packed with resources for investors. Take a moment to view our tips and resources.
    Tags
    World Investor Week, Campaigns, Investing, Consumer
    Type
    Page

  7. 1 December 2012

    AML/CFT: Issuers of securities and participants in issues

    The AML/CFT: issuers of securities and participants in issues guide will help issuers of securities and participants in securities issues to determine if they have compliance obligations under the AML/CFT Act and if the FMA is their supervisor.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  8. 1 December 2014

    Financial Advisers Act exemptions guidance note

    Financial Advisers Act exemptions guidance note updates the November 2010 guidance note issued by the (then) Securities Commission. The approach to FAA exemptions remains largely the same and the section on fees has also been updated.
    Tags
    Financial advice, Independent trustee, Roles, Business, Consumer
    Type
    Page, Guidance, Financial reporting

  10. 25 August 2022

    About

    The Financial Markets Authority regulates financial markets in New Zealand’s. We were established in 2011 as an Independent Crown Entity. Find out more about our purpose, board and leadership team, and how we regulate and enforce the law on this page.
    Tags
    Regulation, Business, FMA
    Type
    Page

  11. 5 December 2023

    FMA publishes 2023 annual report

    The FMA today published the FMA annual report for the year to 30 June 2023.
    Tags
    Media release, Business, FMA, News & Insights
    Type
    Page, Annual report, Corporate publications

  12. 1 October 2014

    Superannuation Schemes Report

    This report has been prepared in accordance with section 28 of the Act and details the principal matters transacted under the Act during the reporting period.
    Tags
    Roles, Reports and Papers, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Report

  15. 8 April 2024

    Peer-to-peer lending service providers

    Peer-to-peer lending is a type of financial market service covered by the FMC Act. Find out more about becoming a peer-to-peer lending service provider, the licensing and registration and compliance obligations along with exemptions available in New Zealand.
    Tags
    Compliance, Obligations, Licensing & registration, FMC Act, Exemptions, Roles, Legislation, Business, Peer-to-peer lending service providers
    Type
    Page