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  1. 5 May 2017

    FMC (NZX Main Board/Debt Market Listing Rules) Approval of Rule Change Notice 2017)

    The changes approved in this notice are: a new NZX Corporate Governance Code that will replace existing Appendix 16 to the Listing Rules, changes to the Listing Rule 10.4.5, changes to references to the title of Appendix 16, and correction of a typographical error.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  3. 13 March 2018

    Self select retirement schemes information for scheme managers

    This information sheet explains how these schemes are regulated under the Financial Markets Conduct Act 2013 (FMC Act) and what exemptions and waivers may be available.
    Tags
    Managed investment schemes, Roles, Business
    Type
    PDF, Information Sheet

  4. 11 June 2018

    Publishing default information for peer to peer lending services 2018

    This guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information. It sets out what ‘default’ means, when licensees must comply with the standard and guidelines on how to publish fair, clear and transparent information.
    Tags
    Compliance, Peer-to-peer lending service providers, Roles, Business
    Type
    PDF

  5. 1 June 2016

    Auditor regulation and oversight plan 2016 2019

    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 2016-2019 period.
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  6. 23 September 2021

    OIAP Short selling of shares

    OIAP Response dated 23 September 2021, Short selling of shares - Request asking if the FMA investigated short selling of industry shares impacted by Covid
    Tags
    Type
    PDF, OIA

  7. 30 July 2015

    Expense disclosure CE Gifts 2015 Jan Jun

    CE gifts and hospitality disclosure for the period 1 January 2015 - 30 June 2015
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  8. 1 October 2015

    KiwiSaver Report 2015

    We are required to report each year on our main KiwiSaver activities. This year’s report covers the period from 1 July 2014 to 30 June 2015, and contains a summary of the statistical returns required to be lodged by KiwiSaver schemes as at 31 March 2015.
    Tags
    Managed investment schemes, Supervisor, Roles, Business
    Type
    PDF, Report

  9. 30 January 2015

    Expense disclosure CE Gifts 2014 Jul Dec

    CE gifts and hospitality disclosure for the period 1 July 2014 - 31 December 2014.
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  10. 4 October 2022

    FMA’s KiwiSaver 2022 annual report shows scheme’s resilience

    The KiwiSaver Annual Report 2022 shows member balances remained buoyant and fund switching returned to normal levels.
    Tags
    KiwiSaver providers, Supervisor, Media release, Managed investment schemes, Roles, Business, News & Insights
    Type
    Page

  12. 1 July 2022

    Financial Markets Conduct (Goodman Group) Exemption Notice 2022

    The Financial Markets Conduct (Goodman Group) Exemption Notice 2022 (Exemption) provides relief for a five year period in relation to the offer of stapled securities to employees in New Zealand under an employee incentive scheme.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  13. 4 October 2022

    campartnersinvestment.org and cambridgeinvestmentsltd.com

    WARNING: The website is falsely purporting to be associated with two registered NZ companies – Cambridge Partners Limited (NZBN 9429037884345) and Cambridge Capital Limited (NZBN 9429038446504). The FMA are concerned that www.campartnersinvestment.org may be operating a scam.
    Tags
    Imposter website, Suspected scam, Consumer, Scams
    Type
    Page

  14. 3 October 2022

    FMA recommends caution when dealing with Whitcoin

    WARNING: Whitcoin unreasonably withholding client funds and is not registered Financial Service Providers in New Zealand.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page