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  2. 3 July 2018

    Class legislative notice summary 2018

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 2 July 2018. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  3. 19 December 2018

    NZX Derivatives Market Rules - Approval of Rule Changes 2018

    This notice approves changes to the Derivates Rules that were provided to the FMA by NZX for approval on 13 Nov 2018. The changes approved are: necessary amendments to ensure consistency with the listing rules and the Captial Adequcy rules have been amended to include "Fund" as well as Debt and Equity Securities.
    Tags
    Derivatives, FMC Act, Legislation, Ways to invest, Investing, Business, Consumer
    Type
    PDF, Notice

  5. 1 September 2014

    Investigations and Enforcement Report 2014

    Key issues and themes arising from investigations and enforcement activities as reported by the FMA.
    Tags
    Reports and Papers, FMA, News & Insights, Enforcement
    Type
    PDF

  8. 1 December 2014

    NZX Financial Product Market Licence 2014

    New Zealand Financial Product Market Licence (NZX
    Limited) 2014
    Tags
    Market operator, Roles, Licence, Licensing & registration, Business
    Type
    PDF

  9. 16 June 2021

    KiwiSaver switching behaviour 150621

    The aim of this research was to identify how any switches and other transactions took place between Febuary and April 2020 at the height of the market volatility associated with COVID-19
    Tags
    Reports and Papers, KiwiSaver providers, Supervisor, Managed investment schemes, Roles, COVID-19, Business, News & Insights
    Type
    PDF

  11. 28 June 2017

    Statement of Intent 2017

    Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2017 report.
    Tags
    Type
    PDF, Statement of intent, Corporate publications

  14. 29 October 2014

    FMA Annual Report 2014

    FMA Annual Report 2014,
    Tags
    Type
    PDF, Annual report, Corporate publications