Document Library

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

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Found 1643 results. Displaying page 58 of 110

12 August 2019

Exemption notice - Methven Limited Notice

Financial Markets Conduct (Methven Limited) Exemption Notice 2019
9 August 2019

Guidance on Expired Passports as Identification for Customer Due Diligence

The AML/CFT supervisors have become aware of the need for clear guidance on the use of expired passports as part of Customer Due Diligence procedures and how it relates to the Amended Identity Verification Code of Practice 2013 (‘the code’).
1 August 2019

Interest rate swap investigation - OIA request

OIA response, dated 1 August 2019, which looked at the investigation by the FMA in 2012-2013 into banks marketing, promoting and selling interest rate swaps between 2005 and 2009. As well as complaints surrounding interest rate swap and the final settlement number with the banks.
1 August 2019

Identity Verification Code of Practice - OIA request

OIA response, dated 1 August 2019, where we provided information about the Identity Verification Code of Practice, as well as the Explanatory Note
1 August 2019

Expense disclosure CE Gifts January to June 2019

CE gifts and hospitality disclosure for the period 1 January 2019- 30 June 2019
1 August 2019

Expense disclosure CE Other January to June 2019

CE expenses disclosure for the period 1 January 2019 - 30 June 2019.
30 July 2019

Payments to social media influencers - OIA request

OIA response, dated 30 July 2019, where costs were queried in relation to three public awareness campaigns in which social media influencers received payment for posts.
30 July 2019

Expense disclosure CE Hospitality January to June 2019

CE expenses disclosure for the period 1 January 2019 - 30 June 2019
26 July 2019

Application form - Asia Region Funds Passport

Application form for FOREIGN passport funds wishing to make offers in New Zealand.
26 July 2019

Guidance for foreign passport fund operators

This guide is for foreign passport fund operators wanting to offer interests in regulated collective investment schemes (CIS) in New Zealand under the Asia Region Funds Passport regime.
25 July 2019

Exemption Notice - Managed Funds Loan Disclosure Requirements

Financial Markets Conduct Exemption Notice 2019: Managed Funds Loan disclosure requirements.
23 July 2019

Annual Corporate Plan 2019

This Annual Corporate Plan sets out our activities that will promote our strategic priorities, address regulatory risks and harms, and deliver sector outcomes. This plan should be read alongside our Strategic Risk Outlook (see below), which provides our medium-term view of the most significant risks to and opportunities for promoting fair, efficient and transparent financial markets.
23 July 2019

Strategic Risk Outlook 2019

The Strategic Risk Outlook 2019 provides our medium-term view (three to five years) of the most significant risks to and opportunities for promoting fair, efficient and transparent financial markets.
23 July 2019

Expensive Trials - OIA response

OIA response, dated 23 July 2019, regarding the FMA’s five most expensive trials, what they involved and a summary of costs
19 July 2019

Syndicated Trusts - Stop Order

The Stop Order issued by the FMA The Stop Order prohibits STL from certain activity, including:distributing communications and advertisements about itself or the offer of financial products, accepting applications or money for financial products.