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1. 1 June 2013

   AML/CFT annual monitoring report 2013

   This document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).

2. 1 May 2013

   Hybrid financial instrument disclosures report 2013

   FMA reviewed the accounting classification and disclosure of financial instruments classified as hybrid instruments listed on the NZX debt market, as at 1 December 2012. This report outlines our findings and recommendations.

3. 16 July 2021

   Amended Identity Verification Code of Practice 2013

   This code of practice provides a suggested best practice for all reporting entities conducting name and date of birth identity verification on customers (that are natural persons) that have been assessed to be low to medium risk. Identification involves obtaining from the customer a range of information about him or her (“identity information”). Verification involves confirming some of that information against documents, data or information obtained from a reliable and independent source.

4. 15 February 2019

   Gifts and Hospitality since 2013 - OIA response

   OIA response, dated 15 Feb 2019, requesting information surrounding any gifts and hospitality given to FMA staff by private organisations since 2013.

5. 30 January 2014

   Expense disclosure CE gifts 2013 Jul Dec

   CE gifts and hospitality disclosure for the period 1 July 2013 - 31 December 2013

6. 30 January 2014

   Expense disclosure CE hospitality 2013 jul dec

   CE expenses disclosure for the period 1 July 2013 - 31 December 2013

7. 30 January 2014

   Expense disclosure CE travel 2013 jul dec

   CE expenses disclosure for the period 1 July 2013 - 31 December 2013

8. 1 October 2013

   Clear, Concise and Effective Disclosure? - Report 2013

   In this report we outline our findings and observations to help issuers and their advisers understand our expectations of ‘clear, concise and effective’ disclosure. Published in October 2013.

9. 1 August 2013

   Consultation response managing intermediaries Champman tripp 2013

   Response to consultation - Chapman Tripp, 1 Aug 2013: practical implications of reporting entities transacting with other reporting entities

10. 30 July 2013

    Expense disclosure CE gifts 2013 jan jun

    CE gifts and hospitality disclosure for the period 1 January 2013 - 30 June 2013

11. 30 July 2013

    Expense disclosure CE hospitality 2013 jan jun

    CE expenses disclosure for the period 1 January 2013 - 30 June 2013

12. 30 July 2013

    Expense disclosure CE travel 2013 jan jun

    CE expenses disclosure for the period 1 January 2013 - 30 June 2013

13. 1 July 2013

    FMA progress review stakeholder feedback report 2013

    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. The report was published in July 2013

14. 1 June 2013

    Auditor regulation and oversight plan 2013 2016

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2013-2016 period

15. 30 June 2020

    Consultation Joint response to managing intermediaries 11 nov 2013

    The Financial Markets Authority published a consultation paper on 11 July 2013 concerning certain obligations under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘AML/CFT Act’). The paper dealt with the obligations of reporting entities that transact with other reporting entities.17 submissions were received from market participants, industry bodies, law firms and consultants. This paper details the responses.