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  1. 17 November 2015

    Consultation on annual declaration of compliance for FMC Act licensees

    This consultation is for all individuals or businesses who are
    FMC Act market service licensees. It aims to:seek feedback from FMC Act market service licensees on a proposal requiring the licensees’ governing bodies to declare, annually, they have complied with conditions for their licence.
    Tags
    Consultations, FMC Act, Legislation, Business
    Type
    PDF

  3. 29 November 2017

    Key Audit Matters - A stock take of the first year in New Zealand

    This report provides a stock take of the New Zealand experience in the first year of adopting the revised auditor’s report, specifically focussing on the reporting of key audit matters (KAMs).
    Tags
    Auditors, Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  5. 13 June 2016

    FMA releases Auditor regulation and oversight plan

    The FMA has released its auditor regulation and oversight plan for 2016. The FMA’s plan sets out the new style of audit report issued by the External Reporting Board, intended to provide better information to investors.
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page

  7. 31 July 2023

    Standard 17A Contingency plans

    Standard 17A Contingency plans for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  8. 2 August 2023

    Class legislative notices summary

    This is a periodical summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.

    Tags
    Regulation updates, Designations, FMC Act, Legislation, Business
    Type
    Page

  9. 28 February 2018

    Corporate governance in New Zealand: Principles and guidelines

    The Corporate governance in New Zealand: Principles and guidelines handbook assists directors, executives and advisers of non-listed and public-sector companies, and other entities, to apply corporate governance principles to their particular entity.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  10. 1 December 2017

    AML/CFT interpreting ordinary course of business guideline

    This guideline is designed to help clarify the meaning of the phrase “in the ordinary course of business”. The meaning of this phrase is important if your business conducts one (or more) of the activities listed under the definitions of financial
    institution”, “designated non-financial business or profession”, and “high-value dealer” in the Anti-Money Laundering and Countering Financing of Terrorism Act
    2009 (AML/CFT Act).
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Guidance

  11. 24 May 2018

    New Zealand Equity Market Cleanliness for the years 2010-2016

    This report assesses the cleanliness of New Zealand equity markets. The assessment is based on the prevalence of abnormal price movements ahead of material price sensitive announcements -measured by the market cleanliness statistic (MCS). The report assessed the New Zealand market cleanliness for the years 2010-2016 and found that the MCS appears to be fluctuating and does not display a clear increasing or decreasing trend.
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF

  12. 7 June 2018

    Auditor regulation and oversight plan 2018-2021

    FMA has an obligation to publish an auditor regulation and oversight plan by 30 June each year, for a three year period, setting out our intentions for the regulation and oversight of auditors under the Act. This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. It may also be of interest to issuers, investors and their advisers.
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF

  13. 22 March 2018

    Update on the FMA’s ongoing review of insurance replacement business and conflicted conduct

    This report follows on from our 2016 report, Replacing life insurance – who benefits? into replacement business activity within the adviser sales channel of the New Zealand life insurance market. It details our findings, the results of our inquiries to date and our expectations for advisers when they are providing advice on replacing insurance policies.
    Tags
    Reports and Papers, Roles, Financial Institutions, Business, News & Insights
    Type
    PDF

  14. 29 November 2017

    Key audit matters - A stock take of the first year in New Zealand

    The purpose of this publication is to provide a stock take of the New Zealand experience in the first year of adopting the revised auditor’s report, specifically focussing on the reporting of key audit matters (KAMs).
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF