Document Library

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1. 22 March 2018

   Update on the FMA’s ongoing review of insurance replacement business and conflicted conduct

   This report follows on from our 2016 report, Replacing life insurance – who benefits? into replacement business activity within the adviser sales channel of the New Zealand life insurance market. It details our findings, the results of our inquiries to date and our expectations for advisers when they are providing advice on replacing insurance policies.

2. 21 March 2018

   Exemption Notice - Moorhouse Central Proportionate Ownership Scheme

   Financial Markets Conduct (Moorhouse Central Proportionate Ownership Scheme) Exemption Notice 2018

3. 15 March 2018

   Fair dealing in advertising and communications – crowdfunding and peer-to-peer lending guidance

   The aim of this guidance is to ensure licensed crowdfunding and peer-to-peer lending platforms understand their obligations when advertising or communicating with customers.

4. 13 March 2018

   Self select retirement schemes information for scheme managers

   This information sheet explains how these schemes are regulated under the Financial Markets Conduct Act 2013 (FMC Act) and what exemptions and waivers may be available.

5. 13 March 2018

   Self-select retirement schemes – information for scheme managers

6. 12 March 2018

   Consultation: Content of regulatory returns for licensed DI MIS managers and DIMS providers

   This consultation is for licensed derivative issuers, managers of managed investment schemes, providers of discretionary investment management services, and other interested parties. It aims to gain feedback on our proposals for regulatory returns for licensed DI, MIS managers and DIMS providers.

7. 12 March 2018

   MIS regulatory returns sample tables

   This spreadsheet should be considered an example of the regulatory return information required by MIS managers.

8. 12 March 2018

   Annual Regulatory returns for licensed Derivative Issuers questions

   Annual regulatory return information to be provided by licensed Discretionary Investment Management Services (DIMS) providers to the FMA

9. 12 March 2018

   Annual Regulatory returns for DIMS providers questions

   Annual regulatory return information to be provided by licensed Discretionary Investment Management Services (DIMS) providers to the FMA.

10. 12 March 2018

    FMA’s media release on 12 March 2018 - OIA response

    OIA response to FMA’s media release on 12 March 2018 regarding the five businesses being warned for Anti-Money Laundering/Countering Financing of Terrorism (AML/CFT) failures. Response dated 5 April 2018.

11. 9 March 2018

    Exemption notice - Arria NLG Limited Scheme

    Financial Markets Conduct (Arria NLG Limited Scheme) Exemption Notice 2018

12. 28 February 2018

    Corporate Governance Handbook 2018

    The Corporate Governance Handbook 2018 was produced by the FMA as a practical guide for directors and executives to apply corporate governance principles.

13. 27 February 2018

    Corporate governance handbook consultation submissions report

    This document summarises the key themes from the submissions to our consultation for the updated Corporate Governance Handbook, and our response to them. It also includes the individual submissions.

14. 22 February 2018

    Consultation for exemption to enable personalised digital advice submissions report

    A summary of submissions on the second consultation on the exemption to enable personalised digital advice.

15. 22 February 2018

    RIS Exemption to enable personalised digital advice 2018

    This regulatory impact statement (RIS) is for financial adviser entities, advisers, and other interested parties. It discusses an exemption to enable the provision of personalised digital advice services.