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Found 616 results. Displaying page 29 of 42

16 April 2018

Consultation paper annual declaration and change to standard condition

This consultation is for all market service licensees and seeks to gain feedback on our proposals for an annual declaration of compliance from licensees as part of regulatory returns, and changes to the standard regulatory returns condition.
22 March 2018

Update on the FMA’s ongoing review of insurance replacement business and conflicted conduct

This report follows on from our 2016 report, Replacing life insurance – who benefits? into replacement business activity within the adviser sales channel of the New Zealand life insurance market. It details our findings, the results of our inquiries to date and our expectations for advisers when they are providing advice on replacing insurance policies.
15 March 2018

Fair dealing in advertising and communications – crowdfunding and peer-to-peer lending guidance

The aim of this guidance is to ensure licensed crowdfunding and peer-to-peer lending platforms understand their obligations when advertising or communicating with customers.
13 March 2018

Self select retirement schemes information for scheme managers

This information sheet explains how these schemes are regulated under the Financial Markets Conduct Act 2013 (FMC Act) and what exemptions and waivers may be available.
13 March 2018

Self-select retirement schemes – information for scheme managers
12 March 2018

MIS regulatory returns sample tables

This spreadsheet should be considered an example of the regulatory return information required by MIS managers.
12 March 2018

Annual Regulatory returns for licensed Derivative Issuers questions

Annual regulatory return information to be provided by licensed Discretionary Investment Management Services (DIMS) providers to the FMA
12 March 2018

Annual Regulatory returns for DIMS providers questions

Annual regulatory return information to be provided by licensed Discretionary Investment Management Services (DIMS) providers to the FMA.
12 March 2018

Consultation: Content of regulatory returns for licensed DI MIS managers and DIMS providers

FMA consults on proposed regulatory returns for licensed derivatives issuers, MIS managers, and DIMS providers, seeking industry and stakeholder feedback.
27 February 2018

Corporate governance handbook consultation submissions report

Summarises feedback and FMA responses to the consultation on the updated Corporate Governance Handbook, with full individual submissions included.
22 February 2018

Consultation for exemption to enable personalised digital advice submissions report

A summary of submissions on the second consultation on the exemption to enable personalised digital advice.
22 February 2018

RIS Exemption to enable personalised digital advice 2018

This regulatory impact statement (RIS) is for financial adviser entities, advisers, and other interested parties. It discusses an exemption to enable the provision of personalised digital advice services.
19 February 2018

Conduct Outcomes Report 2017

The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017. It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018.
1 February 2018

Designation of certain shares in investment companies as managed investment products information sheet

This information sheet explains the class notice which designates certain shares in investment companies as managed investment products, and the company which issues them as a managed investment scheme.
31 January 2018

AML/CFT Guide for small financial adviser businesses

This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).