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Document Library

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

Found 1599 results. Displaying page 46 of 107

  3. 17 April 2020

    Liquidity risk management - good practice guide

    The Financial Markets Authority (FMA) has published this good practice guide to provide Managers of Managed Investment Schemes (MIS Managers) with details of good practices for liquidity management and stress testing. We encourage the adoption of these practices in a manner suited to each individual fund/s.

  5. 7 April 2020

    COVID 19 KiwiSaver significant financial hardship applications alternative verification

    A person applying for a significant hardship withdrawal can complete a statutory declaration via an audiovisual link with an authorised witness (such as a lawyer). However, given the COVID-19 Alert Level 3 and 4 restrictions, the FMA considers supervisors can, at their discretion, accept applications that take alternative steps to verify an applicant’s identity and financial circumstances.

  10. 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.