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  2. 1 April 2019

    AML/CFT Annual Monitoring Report 2018

    This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and its supporting regulations.
    Tags
    AML/CFT, Monitoring, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF

  4. 27 June 2011

    NZX Obligations Review 2011

    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 2011.
    Tags
    Market operator, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  5. 1 June 2016

    Investor Confidence Research 2016

    This is the fourth year that FMA has carried out investor research measuring attitudes towards, and investment in New Zealand’s financial markets.
    Tags
    Reports and Papers, FMA, News & Insights
    Type
    PDF, Research

  8. 18 March 2013

    2013 Annual letter of expectations

    Annual letter of expectation 2013 written by the Minister to the FMA.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  11. 16 February 2016

    2016 FMA letter of Expectations

    The annual letter of expectations 2016 issued by the Minister to the FMA that sets out expectations of the Minister to the FMA as a crown entity.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  12. 16 June 2021

    Financial advice lender exclusion updated 2021

    This information sheet explains the circumstances that may exclude a lender from some Financial Markets Conduct Act 2013 (FMC Act) obligations related to financial advice. The exclusion applies only in relation to consumer credit contracts and certain credit-related insurance contracts. Updated documented published 16/06/21
    Tags
    Financial Adviser, Roles, Business
    Type
    PDF, Information Sheet

  14. 30 June 2020

    NZX Obligations Review 2020

    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 2020.
    Tags
    Market operator, Monitoring, Roles, Reports and Papers, Business, News & Insights
    Type
    PDF

  15. 9 July 2020

    High Risk Jurisdictions subject Call for Action FATF July2020

    FATF describes high-risk jurisdictions subject to a “Call for Action” as having significant strategic deficiencies in their regimes to counter money laundering, terrorist financing, and financing of proliferation. Two countries are on this high-risk list: North Korea and Iran.
    Tags
    AML/CFT, Roles, Business
    Type
    PDF