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Found 100 results. Displaying page 2 of 7

1. 8 April 2024

   Standard Conditions for derivatives issuers

   Outlines standard licensing conditions for derivatives issuers in New Zealand, including financial, governance, compliance, and tech system rules.

2. 8 April 2024

   Standard conditions for MIS

   Standard conditions for Managed Investment Schemes (MIS).

3. 8 April 2024

   Standard Conditions for Crowd Funding

   FMA outlines standard and regulatory conditions for crowdfunding licences under the FMC Act, including compliance and reporting duties.

4. 8 April 2024

   Standard Conditions for Peer to peer

   FMA outlines standard conditions for peer-to-peer lending licences under the FMC Act, covering compliance, governance, and NTA rules.

5. 19 March 2024

   Licensing application guide - Managed Investment Schemes (MIS) PART B3

   FMA Part B3 guide for MIS managers applying for a licence under the FMC Act, outlining questions, standards, and MIS-specific criteria.

6. 19 March 2024

   Licensing application guide - Peer to peer licensing guide PART B2

   FMA Part B2 guide for peer-to-peer lending licence applications under the FMC Act, covering key standards and application details.

7. 19 March 2024

   Licensing application guide - Independent trustee PART B6

   FMA Part B6 guide for individuals applying to be licensed independent trustees under the FMC Act, covering criteria and requirements.

8. 19 March 2024

   Licensing application guide - DIMS Provider PART B4

   FMA Part B4 guide for DIMS providers on licence application, detailing tailored standards, questions, and supporting requirements.

9. 19 March 2024

   Licensing application guide - Crowd funding PART B1

   FMA Part B1 guide for crowd funding licence applications under the FMC Act, with tailored questions, standards, and documentation.

10. 19 March 2024

    Licensing application guide - Derivatives issuers PART B5

    FMA Part B5 guide for derivatives issuers on applying for a market service licence under the FMC Act, with criteria and application steps.

11. 27 February 2024

    Application guide for overseas auditors including Australian auditors and audit firms

    This document is for overseas and Australian auditors seeking FMA licensing or registration to conduct FMC audits under NZ financial law.

12. 19 February 2024

    Licensing Application Guide - Financial Services PART A

    FMA Part A guide explains the application process for financial service licences under the FMC Act, including requirements and steps.

13. 14 February 2024

    Application pack - Australian Auditor

    FMA pack for Australian auditors seeking NZ registration under TTMRA, outlining forms, fees, and compliance requirements.

14. 22 January 2024

    Independent trustees

    You'll need a licence if you are appointed as an independent trustee of a restricted KiwiSaver scheme or a workplace superannuation or legacy scheme. Every restricted managed investment scheme must have at least one licensed independent trustee. See more about the licensing and registration and compliance obligations of independent trustees on this page.

15. 22 January 2024

    Financial Institution licensing

    Any registered bank, licensed insurer, or licensed non-bank deposit taker in the business of providing one or more relevant services needs to hold a financial institution licence to continue operating, if that service is received by a consumer in New Zealand. This page covers everything you need to know about Financial Insitution licencing.