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1. 30 October 2020

   Financial Markets Conduct (NZX Rules) Approval of Rule Change Notice 2020 –2020

   Financial Markets Conduct (NZX Rules) Approval of Rule Change Notice 2020 which aplies to Derivative Market Rules; NZX Participant Rules; Fonterra Share Market Listing Rules and NZ Markets Disciplinary Tribunal Rules.

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.

3. 30 October 2020

   KiwiSaver fees and value for money feedback form

   Consultation feedback form: KiwiSaver fees and value for money

4. 24 October 2020

   Pegasus Market Limited - sentencing notes

   Sentencing notes in the case against Pegasus Market Limited, 23 December 2020.

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.

6. 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

7. 5 October 2020

   Mary Holm’s introductory guide to investing

   Hits and Myths is an introductory guide to investing written by Mary Holm for the FMA. In this booklet she sets the record straight on eight common myths about investing. It’s a quick guide for anyone who’s thinking about or already dabbling in investing – and wants to know more.

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.

9. 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.

10. 30 September 2020

    30 September 2020 Disclose Register KiwiSaver fund updates

    This document is the Disclose Register for KiwiSaver fund updates for 30 September 2020

11. 30 September 2020

    30 September 2020 Disclose Register MIS fund updates

    This document is the Disclose Register for MIS fund updates for 30 September 2020

12. 30 September 2020

    Approval of (NZX Listing Rules) - Approval of Rule Change Notice 2020

    This notices approves changes to the NZX Listing Rules and allows NZX to amend the disclosure settings for direct listings under the NZX Listing rules dated 1 Jan 2020

13. 25 September 2020

    CoFR Timetable of Regulatory initiatives September 2020

    The table provides a comprehensive list of the regulatory initiatives that are being deferred during the Covid-19 crisis.

14. 25 September 2020

    Consultation licensing crowd funding

    Consultation: Draft minimum standards and licence conditions for crowd funding service providers.

15. 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.