Document Library

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

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Found 1629 results. Displaying page 53 of 109

27 March 2020

Exemption notice - UBT Invest NZ Funds

Financial Markets Conduct (UBT Invest NZ Funds) Exemption Notice 2020
26 March 2020

AML/CFT Complying with AML/CFT verification requirements during COVID-19 Alert Levels

This guidance is for reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act) during COVID-19 Alert Levels.
20 March 2020

Tiger Brokers (NZ) Limited - Formal Warning

FMA issued a formal warning to NZX-accredited broker Tiger Brokers (NZ) Limited for failing to have several adequate anti-money laundering protections in place. 20 March 2020.
18 March 2020

Exemption Notice - Centuria Capital Group

Financial Markets Conduct (Centuria Capital Group) Exemption Notice 2020.
3 March 2020

2020/21 Annual letter of expectations

Annual letter of expectations from the Minister 2020/21
28 February 2020

Exemption Notice - Vital Healthcare Property Trust Restructure Disclosure

Financial Markets Conduct Exemption Notice 2020: Vital Healthcare Property Trust Restructure Disclosure.
24 February 2020

Conduct and Culture Review report 2019 - OIA request

OIA response, dated 24/02/2020, asking for a copy of the Bank Conduct and Culture Review (or Life Insurer Conduct and Culture Review) 2019
14 February 2020

CE Expenses Disclosure Gifts JulDec19

CE expense disclosure for the period 1 July 2019 - 31 December 2019.
14 February 2020

CE Expenses Disclosure Hospitality JulDec19

CE expense disclosure for the period 1 July 2019 - 31 December 2019.
14 February 2020

CE Expenses Disclosure Travel JulDec19

CE travel expense disclosure for the period 1 July 2019 - 31 December 2019
14 February 2020

CE Expenses Disclosure Other JulDec19

CE expense disclosure for the period 1 July 2019 - 31 December 2019
12 February 2020

CPA Australia accredited body report 2020

This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2019 to 30 June 2020.
29 December 2019

31 December 2019 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 December 2019
29 December 2019

31 December 2019 Disclose Register MIS fund updates

Disclose Register MIS fund updates for 31 Dec 2019
18 December 2019

Conduct and Culture implementation and planning from banks - OIA request

OIA response, dated 18 December 2019, discussing bank plans and progress on implementation of the Conduct and Culture report changes and what types of action the FMA will take if it is unsatisfied with the outcome or urgency of the banks’ behaviour in establishing or implementing said plans