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Example: "How do I apply for a financial institution licence?", "FMA Annual Report 2024"
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A Managed Investment Scheme (MIS) pools money from a number of investors who rely on the investment expertise of the MIS manager. These schemes can be structured in different ways and may invest in a wide range of investments. On this page you will find the licensing and registration and compliance obligations of a MIS manager. You will also find a list of KiwiSaver exempt employers.
A financial product market is a facility where financial products are bought or sold, or where offers or invitations to buy or sell financial products are made. Find the compliance, licensing and registration obligations and NZX notices on this page.
STEVE SALE INSURANCE LIMITED (FSP723532) is an AML/CFT reporting entity
FMA warns individual for likely market manipulation under section 265 of the FMC Act after suspicious share trading in November 2021 via Sharesies.
OIAP Response dated 23 September 2021, Short selling of shares - Request asking if the FMA investigated short selling of industry shares impacted by Covid