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  3. 18 May 2023

    Licensing Application Guide Part A

    To apply for a market service licence you need to read both PART A and PART B of our licensing application guide. PART A: (this guide) provides general guidance about the licensing process. This includes information about who needs a licence, how to login to the application portal and how to create a RealMe identity, if you don’t already have one (you’ll need one before you can apply).

    https://www.fma.govt.nz/assets/Licensing-guides/160309-Licensing-Application-Guide-Part-A-1.pdf (549 KB)

    Tags
    Crowdfunding providers, Derivative Issuer, Independent trustee, Licence guide, Roles, Licensing & registration, Business, Managed investment schemes
    Type
    PDF

  4. 18 May 2023

    Conduct of Financial Institutions (CoFI) legislation

    The Financial Markets (Conduct of Institutions) Amendment Act 2022 amends the Financial Markets Conduct Act 2013 to ensure certain financial institutions treat consumers fairly. It is designed to protect consumers by putting the consumer at the forefront of institutions’ decisions and actions. Read more about the CoFI legislation on this page.

    https://www.fma.govt.nz/business/legislation/conduct-of-financial-institutions-cofi-legislation/

    Tags
    Banking, Conduct, Legislation, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Business
    Type
    Page

  5. 18 May 2023

    Financial Markets Conduct (Embark Early Education Limited) Exemption Notice 2023

    The Financial Markets Conduct (Embark Early Education Limited) Exemption Notice 2023 exempts Embark Early Education Limited (Embark AU) from Part 3 of the Financial Markets Conduct Act 2013 (the Act) in relation to shares in Embark AU that are to be offered to eligible shareholders under a proposed scheme of arrangement pursuant to Part 15 of the Companies Act 1993.

    https://www.fma.govt.nz/business/legislation/exemptions/financial-markets-conduct-act-exemptions/financial-markets-conduct-embark-early-education-limited-exemption-notice-2023/

    Tags
    Exemptions, Business
    Type
    Page, Financial Markets Conduct Act exemptions, Current, Exemption notice

  6. 18 May 2023

    Embark Early Education Limited Exemption Notice 2023

    The Financial Markets Conduct (Embark Early Education Limited) Exemption Notice 2023 exempts Embark Early Education Limited (Embark AU) from Part 3 of the Financial Markets Conduct Act 2013 (the Act) in relation to shares in Embark AU that are to be offered to eligible shareholders under a proposed scheme of arrangement pursuant to Part 15 of the Companies Act 1993.

    https://www.fma.govt.nz/assets/Exemption/Embark-Early-Education-Exemption-Notice-2023.pdf (348 KB)

    Tags
    FMC Act, Exemptions, Legislation, Business
    Type
    PDF, Exemption notice, Financial Markets Conduct Act exemptions, Current

  13. 9 May 2023

    Financial Markets Conduct (Sharesies KiwiSaver Scheme) Exemption Notice (No 2) 2023

    The Notice exempts Sharesies Investment Management Limited (Sharesies) as manager of the Sharesies KiwiSaver Scheme (Scheme), and the self-select fund in the Scheme (self-select fund) from certain provisions of the Financial Markets Conduct Act 2013.

    https://www.fma.govt.nz/business/legislation/exemptions/financial-markets-conduct-act-exemptions/financial-markets-conduct-sharesies-kiwisaver-scheme-exemption-notice-no-2-2023/

    Tags
    Exemptions, FMC Act, Legislation, Business
    Type
    Page