1. Compliance
  2. Directors & officers
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Directors & officers

Governance and culture has been identified as one of our strategic priorities that will guide our work over the coming years.
We encourage boards to take the lead in embedding sound corporate governance practices that are appropriate for the size and scale of their organisation. Find out more about your role below.

Corporate governance handbook

The Corporate governance handbook is a reference guide for directors, executives and advisers, to help them decide how best to apply the nine key corporate governance principles.  Review a full copy of the guide here, including other support materials.

Calendar

See upcoming events and key dates.

Offer information

The FMC Act has requirements for financial product offer information. This section outlines those requirements, and provides information about when they don’t apply.

Financial reporting

Under the FMC Act 2013 there are financial reporting obligations for FMC reporting entities. 

 

Latest News

The Financial Markets Authority publishes its first Conduct ...

20 February 2017

Media release MR No. 2017 – 05 20 February 2017 The Conduct Outcomes Report 2016 highlights the key issues and actions from the FMA’s enforcement, supervision and preventative activities for the financial year July 2015 to June 2016. Previously published as the Investigations and Enforcement Report, this report shows how the FMA has made use of the broad range of conduct regulation powers available under the Financial Markets Conduct Act 2013. Key ac...

FMA updates Strategic Risk Outlook and sets course for new e...

15 February 2017

Media Release MR No. 2017 – 04 15 February 2017 Today the Financial Markets Authority published its updated Strategic Risk Outlook (SRO). This is a foundation FMA document and sets out how the regulator identifies and prioritises the key risks to its overall objective of fair, efficient and transparent markets. In 2014, the FMA established seven strategic priorities to address the main risks and potential harms to financial markets. Those priorities an...

FMA warns firms under Anti-Money Laundering and Countering F...

8 February 2017

Media Release MR No. 2017 – 02 8 February 2017  The Financial Markets Authority (FMA) has issued a formal warning to 12 reporting entities under section 80 of the Anti-Money Laundering and Countering Financing of Terrorism Act (the Act). Under section 59(2) of the Act, the FMA required reporting entities to submit their audit of their Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) risk assessment and AML/CFT programme by 25 Nove...

 

Latest Consultations

Consultation paper: KiwiSaver advice

8 March 2017

We are seeking feedback on our KiwiSaver advice guidance note.

This guidance note is for providers advising on KiwiSaver products and will replace our 2012 Guidance Note: Sale and Distribution of KiwiSaver. We are replacing this guidance to recognise feedback that our 2012 approach resulted in some people not getting the help they needed, as firms saw it as risky to provide advice. This revised guidance is intended to change that situation, by encouraging advisers and financial firms to help people make good decisions about KiwiSaver.