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Found 616 results. Displaying page 13 of 42

14 February 2023

Submissions report Accounting records guidance

Submissions report following the consultation for Accounting records guidance.
9 February 2023

Licensed & reporting entities

The businesses/people listed on this page have been granted a licence or have been authorised by the FMA. It's important to only deal with licensed people and businesses because if things go wrong you will have access to free dispute resolution services. Find out further details including the provider's business address, list of services and the name of their independent dispute resolution scheme on the Financial Service Providers Register.
3 February 2023

Reasonable grounds for financial advice about financial products - submissions report

Summary of feedback themes, along with our response and individual submissions, from our consultation on the draft guidance on reasonable grounds for financial advice about financial products
2 February 2023

Reasonable grounds for financial advice about financial products - guidance

This guidance explains our approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services (the Code), in relation to financial advice about financial products purchased for investment purposes. It is particularly relevant to situations where it is difficult or impractical to access information to support reasonable grounds for financial advice on an investment product.
31 January 2023

Financial Markets Conduct - NZX Listing Rules Approval of Rule Change Notice 2023

This notice is the Financial Markets Conduct (NZX Listing Rules) Approval of Rule Change Notice 1/2023. This notice comes into force on 31 January 2023. This notice approves amendments to the NZX Listing Rules. The amendments relate primarily to the NZX Corporate Governance Code (the Code), contained at Appendix 1 to the Listing Rules.
31 January 2023

AML/CFT Reporting Entities

Information about the AML/CFT reporting entities supervised by the FMA can be found here.
30 January 2023

Consultationpaper: Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements

We are reviewing whether to renew for a further five years an existing class exemption notice that allows product disclosure statements to be provided in full in both te reo Māori and English (dual language PDSs).
20 January 2023

MIS Sector Risk Assessment 2023

Findings from the FMA’s assessment of the sector risks and the underlying key risk factors for Managed Investment Schemes (MIS), January 2023
18 January 2023

FAP Licensing Application Guide Class 3 questions

This document contains the questions you will be asked when applying for a Class 3 Financial Advice Provider full licence.
17 January 2023

Supervisors Licence Public Trust

Public Trust is licensed to act as supervisor for debt securities, registered schemes, and retirement villages in New Zealand.
17 January 2023

Supervisor Licence Certificate - Trustees Executors Limited

Trustees Executors Limited is licensed to act as supervisor for debt securities, registered schemes, and retirement villages in New Zealand.
21 December 2022

Bruce Allan Baillie - NZICA decision on appeal

NZICA Bruce Allan Baillie decision on appeal.
21 December 2022

Wynyard Group - NZICA decision on appeal

NZICA has released its disciplinary decisions arising from the 2015 PwC audit of the formerly NZX-listed Wynyard Group.
15 December 2022

ASX 24 Obligations Review 2022

This review covers the period 1 July 2020 to 30 June 2022 and is our fourth review of ASX 24 since its licence came into effect on 1 December 2014.
15 December 2022

AML/CFT Designated Business Group – Formation and Change Guideline

This guideline 2022 is designed to help reporting entities forming a designated business group (DBG) to understand the process for doing so. Entities may form a DBG if they are eligible to do so under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations.