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1. 1 August 2016

   Authorised Financial Advisers in NZ — key findings 2016

   This report is a summary of industry trends from AFA information returns 1 July 2013 - 30 June 2015.

2. 30 July 2016

   Expense disclosure CE Gifts January June 2016

   CE gifts and hospitality disclosure for the period 1 January 2016 - 30 June 2016

3. 30 July 2016

   Expense disclosure CE Hospitality January June 2016

   CE expenses disclosure for the period 1 January 2016 - 30 June 2016

4. 30 July 2016

   Expense disclosure CE January June 2016

   CE expenses disclosure for the period 1 January 2016 - 30 June 2016

5. 30 July 2016

   Expense disclosure CE Travel January June 2016

   CE expenses disclosure for the period 1 January 2016 - 30 June 2016

6. 21 July 2016

   Auditor General - MOU

   MOU concerning consultation, cooperation and the exchange of information between the FMA and the Auditor General

7. 8 July 2016

   Exemption notice - Financial Markets Conduct Foodstuffs Provident Fund

   Financial Markets Conduct Exemption Notice 2016: Foodstuffs Provident Fund.

8. 1 July 2016

   Staff and board members gifts and hospitality - OIA response

   OIA response, dated 6 July 2018, to a request regarding FMA’s policy surrounding staff and board members accepting gifts and/or hospitality and, a list of any gifts and/or hospitality accepted staff and board members since 1 July 2016.

9. 1 July 2016

   AML CFT How to complete your annual CFT user guide 1

   This user guide is designed to help financial advisers to complete their annual AML/CFT report (annual report) quickly and easily. It clarifies the questions in the report template that may be open to interpretation and identifies questions that are unlikely to be relevant to small financial adviser businesses. It does not include the questions that don’t need explanation. This guide is current for 2016.

10. 1 July 2016

    Exemption Notice - Financial Markets Conduct Beca Group Superannuation Plan

    Financial Markets Conduct (Beca Group Superannuation Plan) Exemption Notice 2016

11. 30 June 2016

    Justin William Prain and Mark Joseph Schroeder - Appeal Judgment

    Judgment in the Court of Appeal in the case against Justin William Prain and Mark Joseph Schroeder 16 June 2016.

12. 30 June 2016

    aml cft annual report user guide 2016

    This user guide can be used as a reference for AML CFT reporting entities when completing their annual report

13. 30 June 2016

    30 June 2016 Disclose Register Kiwisaver fund updates

    This document is the Disclose Register for KiwiSaver fund updates for 30 June 2016

14. 29 June 2016

    UDC Finance Limited Waiver Notice - consideration complete / reduction of waiting period

    UDC Finance Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 consideration complete / reduction of waiting period. June 2016.

15. 29 June 2016

    NZX Obligations Review 2016

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2016.