1. Compliance
  2. Equity or debt issuers
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Equity or debt issuers

If you are an issuer of a unit trust, KiwiSaver, superannuation or other type of managed investment scheme please see our fund manager section.

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.

Calendar

See upcoming events and key dates.

Financial reporting

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

Governance

Part 4 of the FMC Act resets the accountability framework for managed investment schemes and debt securities.

Exemptions

Find out more about exemptions for issuers, current notices and how to apply for one.

Fair dealing

Read how the FMC Act provides for fair dealing in relation to financial products and services and sets out minimum compliance standards of behaviour for people operating in the financial markets.

AML/CFT and you

The Anti-Money Laundering and Countering Financing of Terrorism Act (AML/CFT Act) 2009 and its Regulations place obligations on New Zealand’s financial institutions to detect and deter money laundering and terrorism financing. Find out how it affects you.

 

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: Improving financial information in an eq...

11 April 2017

First published 11 April 2017   Final date for submissions   5pm, Wednesday 31 May 2017     Consultation document Improving financial information in an equity PDS Submission form Feedback form E-mail for submission consultation@fma.govt.nz (please use the title of the consultation paper for the subject line) We intend to issue guidance for equity issuers on how to disclose financial information in product disclosure statements...