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Document Library

A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1629 results. Displaying page 75 of 109

  1. 2 June 2017

    Amendment Notice 2017 FMC Shares in Investment Companies Designation

    The amendment notice amends the Financial Markets Conduct (Shares in Investment Companies) Designation Notice 2017 which came into force on the 19 May 2017. The notice declares that certain shares in investment companies are managed investment products rather than equity securities for the purposes of the FMC Act, but the princepal notice does not apply to shares that are NZX Main Board shares.

  2. 29 May 2017

    Investor Confidence Survey 2017

    The FMA carried out investor research measuring attitudes towards, and investment in New Zealand’s financial markets. The survey was conducted by Colmar Brunton in 2017.

  3. 23 May 2017

    Licensing guide - FMC Act

    To offer certain financial products and services in New Zealand, you need to be licensed. Being licensed shows your customers you meet the legal eligibility criteria and levels of compliance in the Financial Markets Conduct Act (FMC Act). This guide provides you with an understanding of your obligations under the Act when applying for a licence with the FMA.

  8. 9 May 2017

    IMF financial system stability assessment 2017

    This report is based on the work of the Financial Sector Assessment Program (FSAP) missions that visited New Zealand in August 16–September 7, 2016 and November 2–17, 2016.

  10. 9 May 2017

    IMF 2016 review of NZ

    The FSAP is a comprehensive assessment of the country’s financial sector and was coordinated by the Reserve Bank of New Zealand (RBNZ) on behalf of the members of New Zealand’s Council of Financial Regulators, which includes the FMA, the Treasury and MBIE. New Zealand’s prudential and securities regulation was tested against international principles and practices.