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  1. 30 July 2014

    Expense disclosure CE gifts 2014 jan feb

    CE gift and hospitality disclosure for the period 1 January 2014 - 30 June 2014
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  3. 25 September 2020

    Kiwisaver Annual Report 2020

    The report details the principal matters transacted under the Act during the year ended 30 June 2020, and contains the
    sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.
    Tags
    Monitoring, Reports and Papers, KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business, News & Insights
    Type
    PDF

  5. 30 April 2021

    CoFR Consumer Vulnerability Framework April 2021

    Members of the Council of Financial Regulators (CoFR)1 have agreed on a common understanding of the characteristics of a vulnerable consumer. We are presenting this as a framework to help industry in developing their own approaches to assisting vulnerable consumers. This framework is non-binding and serves as a guideline only. We
    would anticipate firms to consult widely in developing their own terminology, procedures, and processes for assisting vulnerable consumers. These should focus on the evolving needs of the consumers they serve, should be appropriate for their business and in accordance with any specific
    legislative requirements.
    Tags
    Financial Advice Provider, Banking, Regulation, Roles, Council of financial regulators (CoFR), Business, FMA
    Type
    PDF

  7. 28 June 2022

    NZX Obligations Review 2022

    Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2021.
    Tags
    Offer disclosure for equity and debt offers, Market operator, Roles, Business
    Type
    PDF

  9. 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

  11. 30 August 2014

    Creation of new unit trusts during transition period information sheet 2014

    This information sheet responds to queries by market participants about the ability to create new unit trust schemes under the Unit Trusts Act 1960 between 1 December 2014 and 30 November 2015. FMA’s opinion is that persons creating unit trusts between 1 December 2014 and 1 December 2015 can choose between regimes.
    Tags
    Managed investment schemes, Roles, Business
    Type
    PDF