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  1. 7 December 2015

    151207 Property Syndicate Checklist

    This checklist explains some of the things to consider before you invest in a property syndicate. You should be able to find answers to these questions in the documents you are
    given that explain the investment.
    Tags
    Investor information, Consumer
    Type
    PDF

  3. 1 August 2013

    Guardian Trust submission

    Submission made on behalf of The New Zealand Guardian Trust Company Limited in response to the consultation paper 'Practical Implications of Reporting Entitie transacting with other Reporting Entities and the Factsheet.
    Tags
    Consultations, Supervisor, Roles, Business
    Type
    PDF

  4. 9 July 2020

    Consultation review of 16 class exemptions notices expiring in 2021

    We are seeking feedback on our review of 16 class exemption notices that support the regime under the Financial Markets Conduct Act 2013 (FMC Act). These notices will expire between August and December 2021.
    We would like feedback to inform our review of these class notices.
    Tags
    Consultations, FMC Act, Legislation, Business
    Type
    PDF

  5. 12 November 2013

    Consultation licensing peer to peer lending

    Consultation: Draft minimum standards and licence conditions for peer-to-peer lending service providers (P2P).
    Tags
    Peer-to-peer lending service providers, Consultations, Roles, Business
    Type
    PDF

  6. 30 November 2020

    Audit Quality Monitoring Report 2020

    Under the Auditor Regulation Act 2011 (AR Act),
    we must carry out a quality review of the systems,
    policies and procedures of registered audit firms
    and licensed auditors at least once every four
    years. Our reviews help improve audit quality and ensure
    audit opinions are reliable. This is our 2020 report.
    Tags
    Monitoring, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  7. 17 May 2021

    Negative Interest Rate report 2021

    This report is for FMA-licensed entities and their key stakeholders. It gives feedback on key findings of the FMA’s September 2020 survey on industry readiness for negative interest rates.
    Tags
    Monitoring, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  8. 1 December 2021

    Accredited Body Report - CPA Australia 2021

    Findings from the FMA’s review of the adequacy and
    effectiveness of CPA Australia’s audit regulatory systems for
    the period 1 July 2020 to 30 June 2021
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  9. 1 April 2019

    AML/CFT Annual Monitoring Report 2018

    This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and its supporting regulations.
    Tags
    AML/CFT, Monitoring, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF

  10. 27 June 2011

    NZX Obligations Review 2011

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2011.
    Tags
    Market operator, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  12. 30 June 2020

    NZX Obligations Review 2020

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2020.
    Tags
    Market operator, Monitoring, Roles, Reports and Papers, Business, News & Insights
    Type
    PDF

  13. 9 July 2020

    High Risk Jurisdictions subject Call for Action FATF July2020

    FATF describes high-risk jurisdictions subject to a “Call for Action” as having significant strategic deficiencies in their regimes to counter money laundering, terrorist financing, and financing of proliferation. Two countries are on this high-risk list: North Korea and Iran.
    Tags
    AML/CFT, Roles, Business
    Type
    PDF

  14. 1 October 2013

    KiwiSaver Report 2013

    The report details the principal matters transacted under the Act during the year ended 30 June 2013, 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

  15. 29 September 2014

    NXT - Notice of Market Registration 2014

    NZX is granted a Market Registration for NXT under section 36F(3) of the Act. The notice comes into force on 29 Sept 2014
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice