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  1. 1 November 2014

    Standard Conditions for peer-to-peer lending services

    Your guide to the standard conditions that apply to a licensed Peer-to-peer market service under the Financial Markets Conduct Act.
    Tags
    Peer-to-peer lending service providers, Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF

  2. 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

  3. 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

  5. 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

  6. 16 December 2020

    FMA Annual Report 2020

    The 2020 FMA Annual Report highlights our key work from the 2019/2020 financial year, including our response to the COVID-19 crisis, and a range of enforcement activity.
    Tags
    Type
    PDF, Annual report, Corporate publications

  8. 19 January 2022

    KiwiSaver Switching Behaviour KiwiSaver Member Stories

    The FMA commissioned PwC’s behavioural science team to examine KiwiSaver switching behaviour during the height of COVID-19 market volatility, with data provided by 11 KiwiSaver providers.
    Tags
    Reports and Papers, KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business, News & Insights
    Type
    PDF

  9. 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

  11. 9 May 2022

    NZX Listing Rule change 2022

    NZX listing rule change 2022 for anyone who is listing on the stock exchange.
    Tags
    Market operator, Roles, Business
    Type
    PDF, Notice

  12. 11 September 2022

    KiwiSaver Statements Report 0722

    The KiwiSaver Statements research report commissioned by the FMA July 2022
    Tags
    KiwiSaver providers, Supervisor, KiwiSaver & Superannuation, Reports and Papers, Managed investment schemes, Roles, Business, Consumer, News & Insights
    Type
    PDF

  13. 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

  14. 13 September 2018

    The essentials of being a director

    This guide is intended to provide company directors and prospective directors with a quick reference and overview of some of the key things they should think about. It outlines some of the legal requirements, ethical considerations and best practice areas for directors to consider, to be effective in their role. It is not intended to be comprehensive and includes links to more detailed resources.
    Tags
    Directors, Roles, Business
    Type
    PDF

  15. 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