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12 December 2017

Open letter to managers of collective investment schemes

Open letter to managers of collective investment schemes ahead of the anti-Money laundering and Countering Financing Terrorism Act 2009.
12 December 2017

Class legislative notice summary 2017

This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted in effect as at 1 December 2017.
12 December 2017

CPA accredited body report 2017

This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2016 to 30 June 2017.
12 December 2017

NZICA accredited body report 2017

This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2016 to 30 June 2017.
1 December 2017

AML/CFT interpreting ordinary course of business guideline

This guideline is designed to help clarify the meaning of the phrase “in the ordinary course of business”. The meaning of this phrase is important if your business conducts one (or more) of the activities listed under the definitions of financial institution”, “designated non-financial business or profession”, and “high-value dealer” in the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).
1 December 2017

AML/CFT Designated Business Group – Formation Guideline

Guideline to reporting entities on eligibility, formation, notification and withdrawal from a designated business group.
1 December 2017

Exemption notice - Financial Markets Conduct Fletcher Building Retirement Plan

Financial Markets Conduct (CFletcher Building Retirement Plan) Exemption Notice 2017
30 November 2017

Audit Quality Monitoring report 2017

Our quality reviews help improve audit quality standards and ensure audit opinions are reliable. These reviews also help us to achieve our strategic goal of ensuring that investors have access to resources that help them make better informed financial decisions. This report summarises our findings from the quality reviews we carried out between 1 July 2016 and 30 June 2017.
29 November 2017

Key audit matters - A stock take of the first year in New Zealand

The purpose of this publication is to provide a stock take of the New Zealand experience in the first year of adopting the revised auditor’s report, specifically focussing on the reporting of key audit matters (KAMs).
29 November 2017

Exemption Notice - Irish UCITS

Financial Markets Conduct Exemption Notice 2017: Irish UCITS.
28 November 2017

Investor Capability Strategy 2017 2020

This strategy sets out how we plan to target our efforts around ensuring investors have access to the information they need to make informed investment decisions.
23 November 2017

Fullerton Markets Ltd - Warning

Notification of a formal warning from the FMA to Fullerton Markets Ltd under section 80 of the Anti-money laundering and countering finance of terrorism Act 2009. 23 November 2017.
15 November 2017

Consultation documents for exemption to enable personalised digital advice

This consultation is for financial adviser entities, their advisers, and other interested parties. It seeks feedback on the draft exemption notice and application documents.
15 November 2017

Goldman Sachs New Zealand Limited - Investigation report

This report concerns an investigation by the Financial Markets Authority (FMA) into certain trading conduct of Goldman Sachs New Zealand Limited (GSJA).
14 November 2017

Consultation FMA Corporate Governance handbook

This consultation is for the directors, executives and advisers of non-listed and public-sector companies and other entities. We seek feedback about whether our revised handbook helps directors, executives and advisers to think about how to apply corporate governance principles.