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  1. 10 November 2014

    Gentrack IPO Report

    This report describes our conclusions following a review of matters arising out of Gentrack’s initial public offering (IPO) of shares and its disclosure at the time of the IPO.
    Tags
    Offer information, Roles, Reports and Papers, Business, Market operator
    Type
    Page, Report

  2. 5 November 2018

    Bank Conduct and Culture Review

    The Bank Conduct and Culture Review is a report that documents the findings from an FMA and RBNZ review of the conduct and culture in New Zealand retail banks.
    Tags
    Directors, Conduct, Roles, Banking, Reports and Papers, Business
    Type
    Page, Report

  3. 5 December 2013

    FMA Progress Review - Stakeholder Feedback Report

    This report is the result of a review conducted by Oliver Wyman focusing on stakeholder perspectives on achievements, short-comings and future priorities for New Zealand’s Financial Markets Authority.
    Tags
    Reports and Papers, FMA, News & Insights
    Type
    Page

  4. 30 October 2013

    Clear, Concise and Effective Disclosure?

    In this report, we outline our findings and observations to help issuers and their advisers understand our expectations of ‘clear, concise and effective’ disclosure. We seek disclosure that aids, rather than hinders, investor decision making.
    Tags
    Reports and Papers, Offer disclosure for equity and debt offers, Roles, Business, News & Insights
    Type
    Page, Report

  5. 4 August 2016

    A review of corporate governance disclosure in New Zealand

    This report presents our review of corporate governance reporting. We are sharing these findings with companies so they can reflect on their governance practices and disclosures.
    Tags
    Directors, Roles, Reports and Papers, Business
    Type
    Page, Paper

  6. 22 May 2019

    Audit Quality Perceptions Research

    The overall aim of this research is to inform FMA of public and industry perceptions of the audit quality in NZ and enable them to target work to increase understanding of the auditor’s role, strengthen perceived value of that role, along with knowledge of the FMA’s role of oversight and regulation of auditors.
    Tags
    Auditors, Roles, Reports and Papers, Business
    Type
    Page, Research

  7. 16 July 2021

    Birth Certificates with Redacted Information

    The Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) Supervisors have produced this factsheet to confirm their position is that certain details may be redacted by a customer from their birth certificate if it is used for identity verification purposes when conducting customer due diligence.
    Tags
    AML/CFT, Client money or property services provider, Compliance, Crowdfunding providers, Cryptocurrencies, Financial Adviser, Independent trustee, Obligations, Roles, Business, Supervisor
    Type
    Page, Guidance

  8. 3 February 2014

    Guidance Note: Broker Obligations

    This guidance is aimed at improving compliance with broker conduct obligations and trust accounting obligations in Part 3A of the Act, by setting out how FMA interprets and applies certain parts of Part 3A. The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.
    Tags
    Type
    Page, Guidance

  9. 8 March 2017

    KiwiSaver sales and advice

    KiwiSaver sales and advice guidance note outlines our view on what advisers or providers of KiwiSaver should talk to investors about, types of advice and the use of customer incentives.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  10. 13 September 2018

    Guide to being an effective director

    The essentials of being an effective director outlines some of the essential behaviours directors should demonstrate to meet legal, regulatory and ethical standards for directors, and tells you where you can go to find out more.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  11. 27 September 2017

    Guidance on substantial product holder disclosures

    Guidance on substantial product holder disclosures is for anyone who has, or may have, a substantial holding in a listed issuer, fund management firms and their employees and other interested parties. It aims to assist substantial product holders in understanding their obligations and help to promote consistency in disclosures.
    Tags
    Offer information, Roles, Offer disclosure for equity and debt offers, Business
    Type
    Page, Guidance, Financial reporting

  12. 24 November 2015

    Guidance note on risk indicators and description of managed funds

    Guidance note on risk indicators and description of managed funds is for managers and supervisors of managed funds. It gives guidance on how to calculate risk indicators, when to update a PDS, how to describe a fund’s volatility, and in certain cases how to name your fund.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  13. 1 March 2011

    Good character and criminal convictions: Financial Advisers Act 2008

    Good character and criminal convictions: Financial Advisers Act 2008 guide is intended to answer some of the queries the Commission has received regarding the assessment of good character, as well as provide further guidance on the information applicants need to provide to the Commission in relation to criminal convictions.
    Tags
    Financial Adviser, Roles, Business
    Type
    Page, Guidance

  14. 9 August 2019

    Guidance on Expired Passports as Identification for CDD

    Guidance on Expired Passports as Identification for CDD issues guidance to AML/CFT supervisors using an expired passport to verify a person’s name and date of birth. This may only be part of an exception handling procedure, and not in the ‘normal course of business.’
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  15. 18 April 2018

    General stocktake of fund updates

    General stocktake of fund updates lets investors know important information about their managed fund, such as how it is performing, what it is costing them, and what their fund is investing in. By law, they must follow a standard format designed to make it easy to compare funds and be understood by non-expert investors.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance