Search results

Found 616 results. Displaying page 21 of 42

1. 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.

2. 14 June 2021

   Auditor Regulation and Oversight Plan 2021-2024

   This report summarises our plan relating to auditor oversight, as part of our obligation under section 52 of the Auditor Regulation Act 2011. It includes small changes to our previous plan, but overall our focus areas remain unchanged.

3. 17 May 2021

   Negative Interest Rate report 2021

   This report is for FMA-licensed entities and their key stakeholders. It gives feedback on key findings of the FMA’s September 2020 survey on industry readiness for negative interest rates.

4. 30 April 2021

   CoFR Consumer Vulnerability Framework April 2021

   Explore CoFR’s Consumer Vulnerability Framework with guidance to help financial firms support at-risk consumers and improve service delivery.

5. 13 April 2021

   Managed fund fees and value for money - submissions report

   In December 2020 we published a consultation paper seeking input from KiwiSaver managers, KiwiSaver supervisors, other MIS managers, and other interested parties, on the regulatory approach to the statutory requirement that KiwiSaver fees must not be unreasonable and the related overarching statutory duties. This report summarises the feedback we received.

6. 13 April 2021

   KiwiSaver performance fees guidance note

   This guidance note updated in 2021 is intended for the managers and supervisors of KiwiSaver schemes. It sets out the criteria against which the Financial Markets Authority (FMA) will assess the reasonableness of performance fees.

7. 13 April 2021

   Managed fund fees and value for money - guidance

   Guidance and principles to help managers and supervisors of KiwiSaver schemes and other managed investment schemes to demonstrate how they are meeting their existing obligations, statutory duties, and conduct expectations in respect of fees and value for money. Published in April 2021.

8. 25 March 2021

   Consultation Response to submissions regulatory returns DI MIS DIMS

   Response to consultation submissions: Content of regulatory returns for licensed DI, MIS managers and DIMS providers.

9. 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

10. 9 March 2021

    Financial Markets Conduct (Australian Licensees) Exemption Notice 2020 guidance note

    This guidance note 2020 provides an overview of the exemption notice relating to Australian advice businesses giving advice to New Zealand retail clients, and the circumstances in which a business may be able to rely on it.

11. 9 March 2021

    Consultation Recognition of Australian adviser qualifications submissions report

    The following submissions were received in response to our consultation on recognition of Australian adviser qualifications.

12. 17 February 2021

    NZX Derivatives Market Rules Approval of Rule Change Notice Feb 2021

    Pursuant to section 331 of the Act, the FMA approves changes to the NZX Derivatives Market Rules in accordance with the proposed amendments provided for approval by NZX to the FMA on 22 December 2020.

13. 27 January 2021

    Market Operator Obligations Targeted Review NZX

    As a licensed market operator, NZX is required to meet certain general obligations imposed under section 314 of the Financial Markets Conduct Act 2013 (FMC Act). One of those obligations requires NZX to have sufficient technological resources to operate its licensed markets properly. This includes ensuring, to the extent reasonably practicable, the availability, security, capacity and maintenance of its trading platforms, settlement systems, internal market monitoring systems and other related systems.

14. 19 January 2021

    ASX24 Obligations Review 2020

    Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives market) in New Zealand. The FMA is required to report at least once every two years1 on how well ASX 24 is meeting its licensed market operator obligations. This review covers the period 1 July 2018 to 30 June 2020. T

15. 18 January 2021

    Consulation Review of wholesale investor exclusion exemption

    This consultation is for all interested people including wholesale investors, banks, brokers, issuers and legal advisers. It seeks feedback to inform our review of the Financial Markets Conduct (Wholesale Investor Exclusion - $750,000 Minimum Investment) Exemption Notice 2017.