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Lexology PRO | Australia, European Union, Hong Kong, etc. | 14 Sep 2021

Compliance management: key updates (8 – 14 Sep)

New Zealand and Singapore relax regulatory obligations due to COVID-19, the UK FCA seeks feedback on its powers, and the EU refreshes its guidance under the Transparency Directive – plus other key updates.
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Buddle Findlay | New Zealand | 2 Sep 2021

New guidance for AML/CFT electronic identity verification

In July 2021, the Reserve Bank of New Zealand (RBNZ), the Financial Markets Authority (FMA) and the Department of Internal Affairs (DIA) (the…
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Lexology PRO | Asia-Pacific, Canada, China, etc. | 4 Aug 2021

Compliance management: key updates (28 Jul – 4 Aug)

New ESG disclosure rules in Jersey, the UK regulator consults on its decision-making processes, New Zealand’s new cyber resilience guidance and other key compliance management updates.
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Lexology PRO | Asia-Pacific, Bosnia and Herzegovina, China, etc. | 22 Jul 2021

Anti-money laundering: key compliance updates (9 – 22 Jul)

New plans by the UK and EU to strengthen their AML and CTF regimes, China updates its AML law, Italy issues guidance on AML risk mitigation, and the UK publishes guidance on SARs – plus enforcement actions around the world and other key anti-money laundering updates.
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DLA Piper | New Zealand | 20 Apr 2021

Final guidance on managed fund fees

On Wednesday 14 April, the Financial Markets Authority (FMA) released its final guidance on managed fund fees. The guidance, entitled 'Managed fund…
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Buddle Findlay | New Zealand | 20 Nov 2020

Financial Markets Authority launches consultation on guidance for advertising financial products

On 18 November 2020, the Financial Markets Authority (FMA) opened consultation on proposed guidance on advertising offers of financial products under…
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MinterEllisonRuddWatts | New Zealand | 18 Nov 2020

FMA consultation on advertising financial products

Today the Financial Markets Authority (FMA) published a consultation paper seeking feedback in relation to its proposed guidance about advertisements…
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Buddle Findlay | New Zealand | 24 Jul 2020

FSR Regulatory Update: Government sets FSLAA commencement date and releases new disclosure regulations

The new Financial Markets Conduct (Regulated Financial Advice Disclosure) Amendment Regulations 2020 were passed in late June 2020 (the Disclosure…
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DLA Piper | New Zealand | 19 Dec 2019

FMA report - MIS custody review

The long awaited thematic review of custody arrangements (Review) has now been completed and FMA have released their summary findings…
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Buddle Findlay | New Zealand | 15 May 2019

No sharp public/private divide in the FMA Act - more investor class actions in the offing?

The Supreme Court has recently considered the Financial Markets Authority Act 2011 (Act) in a leave application decision…
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