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Found 101 results. Displaying page 5 of 7

1. 21 June 2021

   New Zealand Financial Product Market Licence Catalist Public Market 2021

   New Zealand Financial Product Market Licence Catalist Public Market 2021

2. 16 June 2021

   Licensing interposed persons and engaged entity arrangements information sheet

   This information sheet sets out FMA’s approach to licensing financial advice arrangements and provides guidance on circumstances where an engaged entity or interposed person won’t need to be licensed as a FAP.

3. 15 March 2021

   Crypto asset service providers

   This page provides information about your obligations if you provide a ‘financial service’ related to crypto assets in New Zealand. Read more about types of financial products, initial coin offers, registration, AML/CFT obligations and fair dealing requirements

4. 9 December 2020

   Consultation Standard conditions FAP submissions combined part one

   Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.

5. 9 December 2020

   Consultation Standard conditions FAP submissions combined part two

   Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.

6. 4 December 2020

   Auditor Regulation Act Notice 2020

   This notice is the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.

7. 1 December 2020

   Who will need a licence to provide financial advice

   Find out who needs a licence to give financial advice in NZ, with info on transitional and full FAP licences, duties, and exemptions.

8. 5 November 2020

   FAP standard conditions full licence RIS

   This Regulatory Impact Statement (RIS) discusses standard conditions for financial advice provider (FAP) licences, to be imposed by the FMA.

9. 1 July 2020

   Registering correctly on the FSPR

   Learn how to register or update details on NZ's FSPR before the new financial advice regime, including transitional licence steps.

10. 5 November 2019

    Declaration Fit and Proper - Audit firms

    FMA statutory declaration form for audit firms confirming partner fitness and propriety under the Auditor Regulation Act 2011.

11. 31 October 2019

    Supervisor Licensing guidance

    This guidance note is for anyone applying: for a licence to be a supervisor, or to replace an expiring supervisor licence, or to vary an existing supervisor licence.

12. 23 August 2019

    Standard conditions for independent trustee corporates

    FMA’s standard conditions for corporate independent trustees, covering independence, compliance, governance, and reporting requirements.

13. 23 August 2019

    Standard conditions for independent trustee individuals

    FMA’s standard licence conditions for individual independent trustees, including rules on independence, reporting, training, and compliance.

14. 26 July 2019

    Application form - Asia Region Funds Passport

    FMA ARFP application form for foreign passport funds offering in NZ, detailing fund info, compliance, and documentation requirements.

15. 25 June 2019

    Consultation transitional licensing standard conditions

    Consultation: Proposed standard conditions for financial advice provider transitional licences