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  9. 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, Roles, Business, Peer-to-peer lending service providers
    Type
    PDF

  11. 7 June 2018

    Auditor regulation and oversight plan 2018-2021

    FMA has an obligation to publish an auditor regulation and oversight plan by 30 June each year, for a three year period, setting out our intentions for the regulation and oversight of auditors under the Act. This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. It may also be of interest to issuers, investors and their advisers.
    Tags
    Monitoring, Reports and Papers, Business, News & Insights
    Type
    PDF

  12. 27 June 2018

    Improving financial statements monitoring report

    This monitoring report summarises the findings from our thematic review to determine the extent of improvements in the presentation of financial statements in a clear, concise and effective way, and sets out some suggestions for additional improvement.
    Tags
    Reports and Papers, News & Insights
    Type
    PDF

  13. 28 June 2018

    NZX Obligations Review 2018

    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 2018.
    Tags
    Reports and Papers, Roles, Monitoring, Business, Market operator, News & Insights
    Type
    PDF

  14. 13 June 2018

    Statement of Performance Expectation 2018

    Our Statement of Performance Expectations2018 outlines our short-term (annual) performance targets. It should be read in conjunction with our Statement of Intent.
    Tags
    FMA
    Type
    PDF

  15. 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