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1. 31 March 2020

   31 March 2020 Disclose Register MIS fund updates

   This document is the Disclose Register for MIS fund updates for 31 Mar 2020

2. 27 March 2020

   Exemption notice - UBT Invest NZ Funds

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

3. 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.

4. 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.

5. 18 March 2020

   Exemption Notice - Centuria Capital Group

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

6. 3 March 2020

   2020/21 Annual letter of expectations

   Annual letter of expectations from the Minister 2020/21

7. 28 February 2020

   Exemption Notice - Vital Healthcare Property Trust Restructure Disclosure

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

8. 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

9. 14 February 2020

   CE Expenses Disclosure Gifts JulDec19

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

10. 14 February 2020

    CE Expenses Disclosure Hospitality JulDec19

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

11. 14 February 2020

    CE Expenses Disclosure Travel JulDec19

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

12. 14 February 2020

    CE Expenses Disclosure Other JulDec19

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

13. 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.

14. 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

15. 29 December 2019

    31 December 2019 Disclose Register MIS fund updates

    Disclose Register MIS fund updates for 31 Dec 2019