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1. 5 August 2021

   Online investing platforms

   Online investing platforms enable you to trade shares and other financial products yourself online. They are usually easy to use and often cheaper than a share broker, but you need to be comfortable making your own decisions as you won’t receive advice and often you won’t receive research reports.

2. 10 October 2017

   Regulatory Impact Statement: Non-NZX Broker Client Money 2017

   This document is for non-NZX brokers and their clients. It discusses an exemption granted to non-NZX brokers

3. 1 December 2020

   Exemption Notice - ICAP Brokers

   Financial Markets Conduct Exemption Notice 2020 - ICAP Brokers Pty Limited and ICAP New Zealand Limited.

4. 1 February 2014

   Broker Obligations guidance note

   The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.

5. 20 March 2020

   Tiger Brokers (NZ) Limited - Formal Warning

   FMA issued a formal warning to NZX-accredited broker Tiger Brokers (NZ) Limited for failing to have several adequate anti-money laundering protections in place. 20 March 2020.

6. 2 March 2021

   Exemption notice - Financial Markets Conduct ICAP Brokers Pty Limited and ICAP New Zealand Limited

   Financial Markets Conduct (ICAP Brokers Pty Limited and ICAP New Zealand Limited) Exemption Notice 2021

7. 1 December 2015

   Exemption Notice - Financial Markets Conduct ICAP Brokers Pty Limited and ICAP New Zealand Limited

   Financial Markets Conduct (ICAP Brokers Pty Limited and ICAP New Zealand Limited) Exemption Notice 2015

8. 30 May 2015

   CMB Information Sheet for May 2015

   Offers of contributory mortgages made by contributory mortgage brokers who are not lawyers are regulated under the Securities Act (Contributory Mortgage) Regulations 1988 (Regulations). The Regulations exempt brokers from certain disclosure and governance requirements, under the Securities Act 1978.

9. 1 May 2020

   Roger Gannon - Formal Warning

   Summary of Formal Warning issued by the FMA following an investigation into Mr Gannon, an AFA and Director of Gannon Insurance Brokers Limited, May 2020.

10. 22 October 2015

    Custodians obligations information sheet

    This information sheet explains the difference between a broker and a custodian, custodians for wholesale and managed investment scheme (MIS) clients, and custodians’ statutory obligations. We also list examples of different custodial arrangements.

11. 2 May 2015

    Consultation: Investor acknowledgement and warning for the $750,000 minimum investment wholesale investor exclusion

    This consultation is for: Wholesale investors, banks, brokers, issuers, legal advisers. It aims to test whether an exemption to the investor acknowledgement and warning requirements of the $750,000 minimum investment exclusion is needed in particular circumstances.

12. 18 January 2021

    Consulation Review of wholesale investor exclusion exemption

    This consultation is for all interested people including wholesale investors, banks, brokers, issuers and legal advisers. It seeks feedback to inform our review of the Financial Markets Conduct (Wholesale Investor Exclusion - $750,000 Minimum Investment) Exemption Notice 2017.