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  1. 20 February 2023

    The FMA opens consultation on draft guidance for the intermediated distribution of financial products

    FMA is seeking consultation feedback on proposed guidance that covers arrangements where financial institutions distribute products and services through intermediaries.
    Tags
    Media release, Authorised body under a FAP, Banking, Consultations, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Roles, Managed Investment Schemes, Business, Managed investment schemes, News & Insights
    Type
    Page

  3. 15 February 2023

    FAP regulatory returns

    All licensed FAPs are required to complete and submit an annual regulatory return. The regulatory return is a series of questions to obtain an up-to-date understanding of the nature, size and complexity of your financial advice provider service. This page provides you with information relevant to your annual regulatory return.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Roles, Business
    Type
    Page

  4. 15 February 2023

    FMA finalises regulatory return questionnaire for licensed Financial Advice Providers

    Following consultation on the proposed standard licence conditions for all classes of Financial Advice Providers (FAPs), the Financial Markets Authority (FMA) confirmed the information FAPs must provide in their regulatory returns.
    Tags
    Media release, Authorised body under a FAP, Financial Advice Provider, Roles, Business, News & Insights
    Type
    Page

  5. 15 February 2023

    Regulatory Impact Statement FAP Regulatory Returns

    This document is for financial advice providers, financial advisers, and other interested parties. It discusses the regulatory reporting requirements as required by Standard Condition 3 for licensed financial advice providers.
    Tags
    Authorised body under a FAP, Financial Advice Provider, RIS, Roles, Business
    Type
    PDF

  6. 14 February 2023

    Guidance and expectations for keeping proper accounting records

    Guidance and expectations to help FMC reporting entities to meet their statutory requirement to keep proper accounting records at all times.
    Tags
    Auditors, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Financial reporting, Guidance

  7. 14 February 2023

    Submissions report Accounting records guidance

    Submissions report following the consultation for Accounting records guidance.
    Tags
    Auditors, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Consultation

  8. 14 February 2023

    Guidance and expectations for keeping proper accounting records

    Guidance and expectations to help FMC reporting entities to meet their statutory requirement to keep proper accounting records at all times.
    Tags
    Auditors, Offer disclosure for equity and debt offers, Roles, Business
    Type
    Page, Guidance, Financial reporting

  9. 13 February 2023

    International Capital Limited

    International Capital Limited is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  10. 13 February 2023

    '5 mins with the FMA' podcast #5: Climate-related disclosures

    In this FMA podcast, we discuss New Zealand’s new climate-related disclosures regime with the manager of climate-related disclosures, Jenika Phipps.
    Tags
    Climate related disclosure, News, Ethical finance, Authorised body under a FAP, Financial Institutions, Roles, Business, Consumer, Managed investment schemes, News & Insights
    Type
    Page, Podcast

  11. 10 February 2023

    Jiebin LI

    Jiebin LI is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  14. 10 February 2023

    JORDAN FINANCIAL PLANNING NZ LIMITED

    JORDAN FINANCIAL PLANNING NZ LIMITED is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  15. 10 February 2023

    KAURI FINANCIAL PLANNING LIMITED

    KAURI FINANCIAL PLANNING LIMITED is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page