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  1. 10 March 2023

    Du Val

    The FMA has warned Du Val Capital Partners Limited (DVCP), the general partner of the Du Val Mortgage Fund Limited Partnership (Du Val Mortgage Fund, MFLP, the Fund) and Du Val Group. See all enforcement activity relating to Du Val on this page
    Tags
    Misleading statement, Enforcement
    Type
    Page

  2. 10 March 2023

    Financial Services Legislation Amendment Act 2019 (FSLAA)

    The Financial Services Legislation Amendment Act 2019 (FSLAA) introduces a new framework for giving financial advice in New Zealand. Read a summary of the changes, the FMA's role, who needs a licence and get information on how to apply for a licence on these pages.
    Tags
    Compliance, New Financial Advice regime, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Roles, Business, Interposed persons under new financial advice regime, Nominated representatives
    Type
    Page

  3. 9 March 2023

    Explore your Financial Advice Provider (FAP) options

    The explore your options tool was created to help financial advice providers navigate the licensing options under the new financial advice regime. It covers some of the more straightforward ways you can operate.
    Tags
    Financial Advice Provider, Financial Adviser, New Financial Advice regime, Licensing & registration, Roles, Authorised body under a FAP, Financial Services Legislation Amendment Act (FSLAA), Business, Interposed persons under new financial advice regime, Nominated representatives
    Type
    Page

  5. 8 March 2023

    KiwiSaver statistical returns user guide

    The purpose of the KwiSaver annual statistical return user guide is to explain how to complete the return and provide clarity for areas that have previously been questioned or may be open to interpretation.
    Tags
    Roles, Business, Managed investment schemes
    Type
    PDF

  6. 7 March 2023

    FAP regulatory returns questions Class 1

    This document provides an overview of the questions you'll be asked for when you submit your Class 1 FAP Regulatory Return. The regulatory returns are due by 30 September for the 12-month period from 1 July to 30 June (period of return).
    Tags
    Financial Advice Provider, Regulatory returns, Roles, Authorised body under a FAP, Business
    Type
    PDF

  7. 7 March 2023

    FAP regulatory returns questions Class 2

    This document provides an overview of the questions you'll be asked for when you submit your Class 2 FAP Regulatory Return. The regulatory returns are due by 30 September for the 12-month period from 1 July to 30 June (period of return).
    Tags
    Financial Advice Provider, Regulatory returns, Roles, Authorised body under a FAP, Business
    Type
    PDF

  8. 7 March 2023

    Investing basics

    Understand the basics of investing by working out what kind of investor you are and learning the skills to manage your investments confidently. Helping investors make better informed decisions.
    Tags
    Investing, Investment basics, Consumer
    Type
    Page

  9. 7 March 2023

    FAP regulatory returns questions Class 3

    This document provides an overview of the questions you'll be asked for when you submit your Class 3 FAP Regulatory Return. The regulatory returns are due by 30 September for the 12-month period from 1 July to 30 June (period of return).
    Tags
    Financial Advice Provider, Regulatory returns, Roles, Authorised body under a FAP, Business
    Type
    PDF

  10. 6 March 2023

    KiwiSaver annual statistical returns

    The purpose of this guide is to explain how to complete the KiwiSaver annual statistical return and the page provides a link to FMA's online services where you can complete your return online.
    Tags
    KiwiSaver providers, Regulatory returns, Roles, Business, Managed investment schemes
    Type
    Page

  11. 6 March 2023

    FMA investor profile - Mikayla Pakinga-Lawson

    FMA profiles Mikayla Pakinga-Lawson (Ngati Whakaue me Te Whanau-a-Apanui). Mikayla recently joined the FMA team as an Adviser in the Investor Capability team.
    Tags
    Article, Investing, Consumer, News & Insights
    Type
    Page

  13. 3 March 2023

    Consultation: AML/CFT Act - Draft regulations public consultation

    Consultation published by The Ministry of Justice (the Ministry) on proposed changes to regulations made under the Anti-Money Laundering and Countering Financing of Terrorism Act (AML/CFT Act). Consultation closed on 14 April 2023.
    Tags
    Consultations, AML/CFT, Legislation, Roles, Business
    Type
    Page

  14. 2 March 2023

    Direct Capital VI DBG

    Direct Capital VI DBG including: Direct Capital Limited, Direct Capital IV Management Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  15. 1 March 2023

    Investor warning: EZ Markets

    WARNING: FMA warns of suspicious article published by EZ Markets that could indicate a potential scam.
    Tags
    Derivative Issuer, Suspected scam, Roles, Business, Scams
    Type
    Page