1. Compliance
  2. Equity or debt issuers
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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

KiwiSaver trial to target decision-making a decade out from ...

5 May 2017

Media release MR No. 2017 – 158 May 2017 The FMA is working with ANZ to see if behavioural insights can prompt more ANZ KiwiSaver members to get retirement advice, or use retirement-planning tools when they hit 56 years old. The aim of this behavioural insights pilot is to examine if adjusting communications sent to ANZ KiwiSaver members aged 56, and users of their ‘lifetimes’ investment approach, results in more members checking they are on track...

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...

 

Latest Consultations

Consultation paper: Updated Corporate Governance Handbook

14 November 2017

First published 14 November 2017 Final date for submissions   5pm, Friday 8 December 2017 Consultation document Consultation paper FMA Corporate Governance handbook Submission form Feedback form E-mail for submission consultation@fma.govt.nz (please use the title of the consultation paper for the subject line) Updated Corporate Governance Handbook ConsultationWe welcome your feedback on our draft Corporate Governance handbook (handb...