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Document Library

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

Found 1606 results. Displaying page 39 of 108

  2. 30 October 2020

    Consultation KiwiSaver Fees and Value for Money

    This consultation seeks input from KiwiSaver managers, KiwiSaver supervisors, other MIS managers, and other
    interested parties, on the regulatory approach to the statutory requirement that KiwiSaver fees must not be unreasonable and the related overarching statutory duties.
    Tags
    KiwiSaver providers, Consultations, Managed investment schemes, Roles, Business
    Type
    PDF

  5. 22 October 2020

    Consultation paper Recognition of Australian Adviser Qualifications

    Consultation: This guidance note is for any person who gives regulated financial advice, and their advisers and interested parties. It seeks feedback on proposed recognition of
    certain Australian adviser qualifications.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Consultations, Roles, Business
    Type
    PDF

  6. 22 October 2020

    16th Annual Financial Markets Law Conference

    Liam Mason, director of regulation for the Financial Markets Authority, gave an address to the 16th Annual Financial Markets Law Conference in October, 2020.
    Tags
    Speeches and presentations , News & Insights
    Type
    PPT

  7. 15 October 2020

    AML warnings - OIA request

    OIA response, dated 15 October 2020, looking at the total number of non-public formal warnings issued until June 2020 and he calendar or reporting years in which these were issued
    Tags
    FMA
    Type
    PDF, OIA

  8. 1 October 2020

    COVID-19: Timetable of deferred Regulatory initiatives

    The table provides a list of the regulatory initiatives that are being deferred during the Covid-19 Alert Levels in August and September 2021. These deferrals will enable banks and other financial services firms to focus their efforts more effectively on continuing to operate smoothly and providing credit and other support to individuals and businesses.
    Tags
    COVID-19, News & Insights
    Type
    PDF, Notice

  10. 30 September 2020

    Consultation Auditor Regulation Act Replacement and Amendments

    This consultation is for: licensed auditors and registered audit firms, accredited bodies, and other interested parties.
    Itseek views from licensed auditors and registered audit firms on the proposed revocation of the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012 and Amendment Notice 2015, and introduction of the Auditor
    Regulation Act (Prescribed Minimum Standards and
    Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.
    Tags
    Auditors, Consultations, Roles, Business
    Type
    PDF

  13. 25 September 2020

    Consultation licensing crowd funding

    Consultation: Draft minimum standards and licence conditions for crowd funding service providers.
    Tags
    Crowdfunding providers, Roles, Consultations, Business
    Type
    PDF

  14. 25 September 2020

    Hits and Myths Mary Holm Guidebook

    Hits and myths is an introductory guide to investing
    by Mary Holm. It’s a quick guide for anyone who’s thinking about or already dabbling in investing – and wants to know more.
    Tags
    Investment basics, Investing, Consumer
    Type
    PDF

  15. 25 September 2020

    Kiwisaver Annual Report 2020

    The report details the principal matters transacted under the Act during the year ended 30 June 2020, and contains the
    sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.
    Tags
    Monitoring, Reports and Papers, KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business, News & Insights
    Type
    PDF