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18 December 2020

NZICA accredited body report 2020

This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2019 to 30 June 2020.
16 December 2020

Complying with the prohibition on the notice of trusts on registers

This information sheet explains the FMA’s expectations in regards to how issuers of regulated products can comply with the prohibition on the notice of trusts being entered on the register that is required to be kept by the issuer.
14 December 2020

Disclosure framework for integrated financial products

The disclosure framework for integrated financial services guidance note 2020 is relevant to issuers of financial products that incorporate non-financial factors.
11 December 2020

Submissions on the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020 - summary of key themes

Summary of key themes: Submissions on the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.
9 December 2020

Consultation Standard conditions FAP consultation submissions combined part three

Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service - summary of key themes.
9 December 2020

Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service - summary of key themes

Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service
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.
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.
9 December 2020

Overseas research reports 2020

Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 from 15 March 2021.
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.
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.
18 November 2020

Consultation guidance on advertising offers

This consultation is for those involved in advertising and promoting offers of financial products, investor groups and consumer advocates. We are seeking feedback about the scope and content of the proposed guidance.
12 November 2020

Audit Quality Director's Guide 2020

The Audit Quality Directors Guide 2020 handbook is aimed at directors of FMC reporting entities. It sets out how you, as a director, can contribute to the quality of your audit, as well as what you can expect from the FMA and your auditor.
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.
30 October 2020

Financial Markets Conduct (NZX Rules) Approval of Rule Change Notice 2020 –2020

Financial Markets Conduct (NZX Rules) Approval of Rule Change Notice 2020 which aplies to Derivative Market Rules; NZX Participant Rules; Fonterra Share Market Listing Rules and NZ Markets Disciplinary Tribunal Rules.