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  1. 2 August 2023

    Designations

    Under the FMC Act, we have powers to make designations that change the way products and other matters are regulated. Read more about designations and view current individual and class designations provided on this page.
    Tags
    Designations, Business
    Type
    Page

  2. 27 April 2023

    Change of manager director notification form

    Reg 191 form for FMCA licence types.
    Tags
    Crowdfunding providers, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers, Supervisor
    Type
    PDF

  3. 31 July 2023

    Standards for designated Financial Market Infrastructures

    The standards for designated FMIs were issued on 27 July 2023 under sections 31 and 34 of the Financial Market Infrastructures Act 2021 (the FMI Act) by the Reserve Bank of New Zealand and the Financial Markets Authority acting jointly as the regulator under section 9 of the FMI Act. The standards come into effect starting from 1 March 2024.
    Tags
    Financial market infrastructures, Roles, Business
    Type
    Page

  4. 11 September 2019

    Ngā mea waiwai o te tūranga whakataka (The essentials of being a director)

    This is a te reo Māori translation of The Essentials of Being a Director guide - which recognises the relevance of te reo Māori in New Zealand’s economy. This joint publication with the Institute of Directors 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.
    Tags
    Directors, Roles, Business
    Type
    Page

  5. 14 April 2020

    Going Public: A Director’s Guide

    The number of companies looking to access the equity markets continues to grow. This guide is intended to help directors assess whether going public is the right choice for their company and provide an insight into the process of becoming a public company.
    Tags
    Directors, Roles, Business
    Type
    Page

  7. 9 June 2023

    BNP Paribas – Fake bonds offer

    We are concerned that a scam is targeting New Zealanders and offering investments in “Treasury” and “clean energy” bonds in the name of BNP Paribas bank. BNP Paribas has confirmed that it is not connected with these offers. A similar warning about fake BNP Paribas bonds was issued by the FMA in September 2022, but investment scams using the bank’s name have continued.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  8. 11 August 2023

    FMA issues warning to Enprise Group Limited

    The Financial Markets Authority (FMA) – has issued Enprise Group Limited (Enprise) a warning for failing to keep proper accounting records.
    Tags
    Media release, Powers, Formal warning, News & Insights, Enforcement
    Type
    Page

  9. 11 August 2023

    Waivers

    Explore a comprehensive list of the FMC Act waivers offering by FMA. Get insights on financial markets authority and FMC waivers.
    Tags
    Waivers, Business
    Type
    Page

  10. 31 October 2013

    Futures Contracts (iPredict Limited)

    Futures Contracts (iPredict Limited) Securities Markets Act Exemption Amendment Expiry Date on 2016-11-30.
    Tags
    Exemptions, Business
    Type
    Page

  11. 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

  12. 30 June 2023

    Offers under the FMC Act

    Anyone offering financial products for issue or sale needs to comply with financial markets legislation. The Financial Markets Conduct Act 2013 (FMC Act) defines these people as issuers. See more on how they are defined and other disclosure requirements.
    Tags
    Type
    Page

  13. 1 October 2018

    KiwiSaver Report 2018

    The report details the principal matters transacted under the Act during the year ended 30 June 2018, 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, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF

  14. 30 September 2013

    Monitoring of non-GAAP disclosures response to guidance note

    In this review we assessed the market’s response to the guidance note to gain an early indication of whether disclosures around non-GAAP (generally accepted accounting principles) financial information are improving.
    Tags
    Reporting entities, Business
    Type
    PDF, Guidance

  15. 1 March 2014

    KiwiSaver schemes monitoring investment risk guidance

    This Guidance Note is designed to assist Trustees of retail non-restricted KiwiSaver schemes (Trustees), in performing their functions effectively.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes
    Type
    PDF, Guidance