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  2. 19 February 2018

    Conduct Outcomes Report 2017

    The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017.
    It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018.
    Tags
    Financial Advice Provider, Supervisor, Monitoring, Roles, Business, Enforcement
    Type
    PDF

  4. 27 June 2019

    ICE Futures Europe Obligations Review 2019

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
    The FMA is required to report, at least once every two years on how well IFUS is meeting its obligations as a licensed market operator.
    Tags
    Market operator, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  5. 11 July 2019

    KiwiSaver Fees Comparison Report 2019

    The purpose of this report is to report our findings on comparing the KiwiSaver fees with fees for UK Contract Based superannuation schemes.
    Tags
    Reports and Papers, Roles, KiwiSaver providers, Supervisor, Managed investment schemes, Business, News & Insights
    Type
    PDF

  6. 30 June 2016

    aml cft annual report user guide 2016

    This user guide can be used as a reference for AML CFT reporting entities when completing their annual report
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Information Sheet

  9. 16 February 2017

    2017 Letter of Expectations

    The letter of expectation 2017 is delivered by the Minister to the FMA to formalise expectation of the FMA as a Crown entity.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  10. 1 August 2015

    Investigations and Enforcement Report 2015

    This report highlights the key themes and issues in our investigation and enforcement activity in the year to 30 June
    2015. It is intended to provide insight into the work we do, and help businesses and professionals better understand the
    behaviour we expect.
    Tags
    Monitoring, Reports and Papers, Business, News & Insights, Enforcement
    Type
    PDF

  11. 30 April 2020

    Insurer COVID 19 Expectations

    Letter from the Director of Banking and Insurance, FMA to stakeholders detailing the FMA expectation during COVID-19
    Tags
    Financial Advice Provider, Banking, Roles, Business
    Type
    PDF, Letter

  13. 3 July 2018

    Class legislative notice summary 2018

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 2 July 2018. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  14. 19 December 2018

    NZX Derivatives Market Rules - Approval of Rule Changes 2018

    This notice approves changes to the Derivates Rules that were provided to the FMA by NZX for approval on 13 Nov 2018. The changes approved are: necessary amendments to ensure consistency with the listing rules and the Captial Adequcy rules have been amended to include "Fund" as well as Debt and Equity Securities.
    Tags
    Derivatives, FMC Act, Legislation, Ways to invest, Investing, Business, Consumer
    Type
    PDF, Notice