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1. 16 December 2021

   Customer care managing conflicts of interest self assessment tool

2. 15 December 2021

   Fonterra Shareholders' Market Listing Rules - Approval of Change Notice 2021

   The amendments to the FSM Listing Rules are generally consequential on external factors relating to Fonterra, and include the following: FSM Listing Rule 1.8.2, Rules 1.8.2(c), 1.8.4(a) and 6.1.2(a)(ix) and (x) and the Glossary, and, FSM Listing Rule 6.1.2 are amended

3. 13 December 2021

   Financial Services Complaints Limited - MOU

   MOU concerning consultation, cooperation and the exchange of information between the FMA and the Financial Services Complaints Limited

4. 13 December 2021

   Insurance and Financial Services Ombudsman Scheme - MOU

   MOU concerning consultation, cooperation and the exchange of information between the FMA and the Financial Services Ombudsman Scheme

5. 13 December 2021

   Squirrel P2P Trustee Limited - Public Warning

   Public warning issued under Section 9 of the Financial Markets Authority Act 2011 regarding Squirrel P2P Trustee Limited, FSP 415167. 13 December 2021.

6. 10 December 2021

   FMA Annual Report 2021 - preview

   Preview of the FMA Annual Report 2021.

7. 10 December 2021

   Outsourcing CDD to a third party provider Reminder to FMA and DIA reporting entities

   While third-party providers can provide a useful service, both the DIA and FMA are aware of an increasing number of reporting entities taking a view that the third-party provider “just takes care of it all” and that all CDD requirements are then met. This is not the case. Read more about outsourcing your CDD requirments.

8. 6 December 2021

   AML/CFT Sector Risk Assessment 2021

   Our Sector Risk Assessment (SRA) helps us and the Reporting Entities we supervise understand the risks of money-laundering (ML) and terrorism financing (TF) in each sector. This SRA replaces our SRA published in 2017.

9. 1 December 2021

   Accredited Body Report – New Zealand Institute of Chartered Accountants 2021

   Findings from the FMA’s review of the adequacy and effectiveness of NZICA’s audit regulatory systems for the period 1 July 2020 to 30 June 2021

10. 1 December 2021

    Accredited Body Report - CPA Australia 2021

    Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2020 to 30 June 2021

11. 1 December 2021

    KiwiSaver retirement projections: Case Studies

    Check out examples of how KiwiSaver retirement projections can look in these short KiwiSaver retirment projections video case studies.

12. 30 November 2021

    CE Expense Disclosure Hospitality Rob Everett 1 Jul to 31 Oct 21

    CE Expense Disclosure Hospitality Rob Everett 1 Jul to 31 Oct 21

13. 30 November 2021

    CE Expense Disclosure Other Rob Everett 1 Jul to 31 Oct 21

    CE Expense Disclosure Other Rob Everett 1 Jul to 31 Oct 21

14. 30 November 2021

    CE Expense Disclosure Summary Rob Everett 1 Jul to 31 Oct 21

    CE Expense Disclosure Summary Rob Everett 1 Jul to 31 Oct 21

15. 30 November 2021

    CE Expense Disclosure Travel Rob Everett 1 Jul to 31 Oct 21

    CE Expense Disclosure Travel Rob Everett 1 Jul to 31 Oct 21