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  1. 3 October 2023

    Compliance approach

    FMA takes a risk-based approach to our monitoring and surveillance activities, meaning we prioritise resources to those participants or practices that present the greatest risk to fair, efficient and transparent financial markets.
    Tags
    Compliance, Business
    Type
    Page

  2. 2 October 2023

    Disputes and consumer protection

    The Banking Ombudsman investigates and resolves disputes between customers and their banks.
    They also deal with complaints about a range of non-bank financial service providers. The Reserve Bank of New Zealand is the prudential supervisor of banks and insurance companies.
    Tags
    Consumer
    Type
    Page

  3. 2 October 2023

    Banking

    The FMA regulates certain products that may be offered by banks (e.g. managed funds) to you. The FMA is interested in the overall conduct of banks. THe FMA does not have a direct legislative mandate for regulating the conduct of providers of core retail banking (such as lending, credit and bank accounts).
    Tags
    Consumer banking, Consumer
    Type
    Page

  4. 2 October 2023

    Money with Mary

    In our series “Money with Mary,” personal finance legend Mary Holm shares practical tips on a variety of money matters.
    Tags
    Article, Investing, Consumer, News & Insights
    Type
    Page

  5. 29 September 2023

    FMA consults on proposed liquidity risk management guidance

    FMA has released proposed guidance for Managed Investment Scheme (MIS) managers and their supervisors for effective liquidity risk management (LRM).
    Tags
    Media release, Supervisors, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page

  6. 29 September 2023

    Consultation: Proposed liquidity risk management guidance

    Have your say on proposed liquidity risk management guidance outlining the essential features of effective liquidity risk management for MIS managers. Submissions close 10 November 2023.
    Tags
    Consultations, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page

  7. 29 September 2023

    Feedback form Liquidity risk management

    Feedback form of Liquidity risk management draft guidance
    Tags
    Consultations, Roles, Supervisors, Business, Managed investment schemes
    Type
    Word document

  9. 28 September 2023

    Auditors

    Auditor regulation and oversight helps to ensure the businesses we regulate (known as FMC reporting entities) have access to competent auditors, and these audits (known as FMC audits) are of a high standard. This page explains who needs to comply with the FMA, licensing and registration requirements, costs, levies and waivers, obligations, along with a number of important guidance documents and reports that are relevant to Auditors in New Zealand.
    Tags
    Auditors, Obligations, Licensing & registration, Roles, Directors, Business
    Type
    Page

  10. 28 September 2023

    News & Insights

    This section of the FMA website includes all news issued by the FMA including media releases; reports and papers; speeches; research papers; articles and opinion pieces.
    Tags
    News & Insights
    Type
    Page

  12. 28 September 2023

    FMA Update

    We provide regular communications as part of our efforts to ensure you have access to the appropriate resources to help you make informed decisions – whether you are an industry professional or regular investor. Our monthly market update is called the FMA Update. Subscribe here.
    Tags
    Campaigns, News & Insights
    Type
    Page

  13. 28 September 2023

    Catalist market operator obligations review

    Findings from the FMA's annual review of how well Catalist is meeting its licensed market operator obligations.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    Page

  14. 28 September 2023

    Catalist market operator obligations review 2023

    Findings from the FMA’s review of how well Catalist is meeting its licensed market operator obligations, for the period 1 April 2022 to 31 March 2023.
    Tags
    Roles, Reports and Papers, Business, Market operator, News & Insights
    Type
    PDF

  15. 27 September 2023

    Regulatory co-operation

    The FMA co-ordinates our efforts and we share intelligence with other government agencies via the Council of Financial Regulators (CoFR). Find out more about the Council of Financial Regulators (CoFR) and other global agencies we co-operate with here.
    Tags
    Regulatory cooperation, FMA
    Type
    Page