Back

Search results

Found 101 results. Displaying page 4 of 7

  3. 20 October 2022

    How to cancel your FMC Act licence

    FMA guide on cancelling a Financial Markets Conduct Act licence, outlining required steps, information, and ongoing obligations.

  5. 12 August 2022

    Standard Conditions - FAP licences

    FMA outlines standard conditions for full FAP licences under the FMC Act, covering compliance, recordkeeping, outsourcing, and continuity.

  10. 4 October 2021

    Self assessment tool cyber security and BCP

    Planning for all types of risk is an essential part of any business. As a financial advice provider, clients rely on you to ensure their information is secure, confidential, and available at all times. By taking the time to prepare for the unexpected, you’ll be able to get back on your feet quickly, protecting both your clients and your business. Use this self-assessment tool to see if you’re ready to complete the cyber security and business continuity planning section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply. *

  14. 2 July 2021

    Administrators of financial benchmarks

    Financial benchmarks are prices, rates, figures or indexes that are referenced in financial products or contracts. On this page, you will find out more about licensing of administrators of financial benchmarks; compliance obligations; costs of licensing and exemptions available to administrators of financial benchmarks.