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Document Library

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

Found 1628 results. Displaying page 34 of 109

  1. 6 July 2021

    Investor Confidence Report 2021

    This annual report is intended to measure the level of confidence the New Zealand public have in the New Zealand financial markets along with perceptions and awareness of the FMA.
    The research is conducted by an exernal provider. This is the Investor confidence survey results published in 2021.
    Tags
    Reports and Papers, Business, FMA, News & Insights
    Type
    PDF, Surveys

  3. 1 July 2021

    FAP Licensing Application Guide Class 1 questions

    FAP Licensing Application Guide Class 1 questions: This document contains the questions you will be asked when applying for a Class 1 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.
    Tags
    Financial Advice Provider, Roles, Licence guide, Licensing & registration, Business
    Type
    PDF

  7. 1 July 2021

    AML/CFT Regulation Update 2021

    New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) system is intended to adapt as money laundering and terrorism financing risks evolve. Two regulations, that are a key part of the AML/CFT system, were due to expire. These are the AML/CFT (Exemptions) Regulations 2011 which were scheduled to expire on 30 June 2020, and the AML/CFT (Definitions) Regulations 2011 which partially expire on 27 July 2021.
    Tags
    AML/CFT, Directors, Regulation updates, Roles, Business
    Type
    PDF, Guidance

  10. 30 June 2021

    Filing of financial statements: review findings and guidance

    This document provides a summary of the key findings and insights from our monitoring review of financial reporting filing obligations. It also provides guidance and sets our expectations for future reporting periods.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Roles, Business, Peer-to-peer lending service providers
    Type
    PDF, Report

  13. 29 June 2021

    ICE Futures US general obligations review 2021

    The US Commodity Futures Trading Commission (CFTC) is IFUS’s primary regulator. Our review therefore focuses on whether the CFTC was satisfied with IFUS’s compliance during the review period. 2019-2020 ICE Futures US general obligations review.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  14. 29 June 2021

    ICE Futures Europe general obligations review 2021

    The UK Financial Conduct Authority (FCA) is IFEU’s primary regulator. Our review therefore focuses on whether the FCA was satisfied with IFEU’s compliance during the review period. 2021 ICE Futures Europe general obligations review
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  15. 28 June 2021

    NZX Market Operator Obligations Review 2021

    Findings from the FMA's review of how well NZX is meeting its
    licensed market operator obligations, for the period
    1 January to 31 December 2020
    Tags
    Reports and Papers, Market operator, Roles, Business, News & Insights
    Type
    PDF