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  1. 13 June 2013

    Investigations and Enforcement Report 2013

    This report highlights the key issues and themes that have emerged through FMA’s investigations and enforcement activities from July 2012 to June 2013.
    Tags
    Reports and Papers, Monitoring, Business, News & Insights, Enforcement
    Type
    PDF

  2. 1 November 2019

    A guide to understanding auditing and assurance 2019

    A guide to understanding auditing and assurance: FMC Reporting Entities in New Zealand explains in plain language the value and purpose of auditing and assurance. This will
    assist shareholders, investors and other readers of financial statements who are not experts in auditing and assurance to better understand the messages from the entity’s auditor and make use of this information in their decision making
    Tags
    Auditors, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Peer-to-peer lending service providers, Roles, Business
    Type
    PDF

  3. 7 April 2020

    COVID 19 KiwiSaver significant financial hardship applications alternative verification

    A person applying for a significant hardship withdrawal can complete a statutory declaration via an audiovisual link with an authorised witness (such as a lawyer). However, given the COVID-19 Alert Level 3 and 4 restrictions, the FMA considers supervisors can, at their discretion, accept applications that take alternative steps to verify an applicant’s identity and financial circumstances.
    Tags
    KiwiSaver providers, Supervisor, COVID-19, Managed investment schemes, Roles, Business, News & Insights
    Type
    PDF, Information Sheet

  4. 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

  6. 24 September 2021

    KiwiSaver Annual Report 2021

    The report details the principal matters transacted under the Act during the year ended 30 June 2021, and contains the
    sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.
    Tags
    Reports and Papers, KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business, News & Insights
    Type
    PDF

  8. 2 June 2017

    Amendment Notice 2017 FMC Shares in Investment Companies Designation

    The amendment notice amends the Financial Markets Conduct (Shares in Investment Companies) Designation Notice 2017 which came into force on the 19 May 2017. The notice declares that certain shares in investment companies are managed investment products rather than equity securities for the purposes of the FMC Act, but the princepal notice does not apply to shares that are NZX Main Board shares.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  9. 23 May 2018

    Consultation Same Class Offers ASX NZX Exemption Notice 2018

    This consultation paper is for those who issue and offer listed financial products, investors, legal advisers, and other
    interested parties. It seeks feedback on a proposed exemption for same class offers of ASX/NZX-quoted financial
    products.
    Tags
    Market operator, Consultations, Roles, Business
    Type
    PDF

  11. 5 June 2019

    Kiwi Wealth Limited Amendment Notice 2019

    KiwiSaver Default Provider (Kiwi Wealth) Notice - fee can be changed by a default provider by introducing a maximum amount
    Tags
    Managed funds, Ways to invest, Investing, Consumer
    Type
    PDF, Notice

  12. 23 July 2019

    Annual Corporate Plan 2019

    This Annual Corporate Plan sets out our activities that will promote our strategic priorities, address regulatory risks and harms, and deliver sector outcomes.
    This plan should be read alongside our Strategic Risk Outlook (see below), which provides our medium-term view of the most significant risks to and opportunities for promoting fair, efficient and transparent financial markets.
    Tags
    FMA
    Type
    PDF

  14. 28 February 2018

    Corporate Governance Handbook 2018

    The Corporate Governance Handbook 2018 was produced by the FMA as a practical guide for directors and executives to apply corporate governance principles.
    Tags
    Governance, FMA
    Type
    PDF

  15. 29 June 2016

    NZX Obligations Review 2016

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2016.
    Tags
    Reports and Papers, Market operator, Roles, Monitoring, Business, News & Insights
    Type
    PDF