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  2. 12 March 2018

    Consultation: Content of regulatory returns for licensed DI MIS managers and DIMS providers

    This consultation is for licensed derivative issuers, managers of managed investment schemes, providers of discretionary investment management services, and other interested parties. It aims to gain feedback on our proposals for regulatory returns for licensed DI, MIS managers and DIMS providers.
    Tags
    Derivative Issuer, Discretionary investment management scheme (DIMS), Consultations, Roles, Business, Managed investment schemes
    Type
    PDF

  3. 16 April 2018

    Consultation paper annual declaration and change to standard condition

    This consultation is for all market service licensees and seeks to gain feedback on our proposals for an annual declaration of compliance from licensees as part of regulatory returns, and changes to the standard regulatory returns condition.
    Tags
    Consultations, Roles, Business, Market operator
    Type
    PDF

  4. 23 April 2015

    DIMS limit breaks under the FMC Act

    This information sheet outlines the obligations of Discretionary Investment Management Services (DIMS) providers under the Financial Markets Conduct Act 2013 (FMC Act) relating to investment authority limits and reporting breaches of those limits.
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    PDF, Information Sheet

  5. 2 February 2016

    Guide for charities

    This information sheet outlines the options for community and voluntary organisations wanting to borrow money from investors. (This does not include donations).
    Tags
    Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF

  6. 3 July 2018

    Disclosure of significant accounting estimates

    This information sheet explains our expectations on disclosure of significant accounting estimates. It is part of our work on improving the overall quality of information being disclosed in financial statements.
    Tags
    Business
    Type
    PDF, Information Sheet

  7. 1 December 2014

    Transition to fmc act other types mis information sheet

    Timeline for other types of MIS to transition to the FMC Act. Other types of MIS includes a range of schemes, often tightly focused – eg property and forestry schemes. Note, excludes property and forestry schemes structured as companies (who generallyare classed as equity issuers).
    Tags
    FMC Act, Roles, Legislation, Business, Managed investment schemes, Supervisor
    Type
    PDF

  8. 22 October 2020

    16th Annual Financial Markets Law Conference

    Liam Mason, director of regulation for the Financial Markets Authority, gave an address to the 16th Annual Financial Markets Law Conference in October, 2020.
    Tags
    Speeches and presentations , News & Insights
    Type
    PPT

  9. 22 February 2018

    RIS Exemption to enable personalised digital advice 2018

    This regulatory impact statement (RIS) is for financial adviser entities, advisers, and other interested parties. It discusses an exemption to enable the provision of personalised digital advice services.
    Tags
    RIS, Financial Advice Provider, Financial Adviser, Roles, Business
    Type
    PDF

  10. 6 March 2017

    Adviser point of retirement research report 2017

    This report summarises feedback we gathered from 10 authorised financial advisers about advice close to or at
    retirement. It also includes feedback from 104 people currently receiving advice from financial advisers. The purpose of this research was to find out if financial advice helps New Zealanders manage their retirement savings. It forms part of a wider FMA project to understand the financial help and advice people receive when they retire.
    Tags
    Reports and Papers, Investor capability, FMA, News & Insights
    Type
    PDF

  11. 24 May 2017

    Licensing overview report 2017

    The licensing overview report 2017 aims to outline how the FMA applied a flexible approach to applications; explains how the minimum standards and FMC Act eligibility criteria fit together; shows the linkage between good conduct and minimum standards, signals our fugure focus and clarified ongoing legal obligations.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Licensing & registration, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    PDF, Report

  12. 23 June 2017

    Auditor regulation and oversight plan 2017 2020

    The Auditor regulation and oversight plan, 2017-2020 is for Auditors or people who prepare financial statements.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  13. 28 June 2017

    Ice Futures Europe review 2017

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
    We are required to report, at least once every two years
    on how well IFUS is meeting its obligations as a licensed
    market operator. This review covers the period 1 December 2014 to 31 December 2016. This is our first review of
    IFUS since it became licensed on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  14. 22 September 2017

    FSPR report 2017

    Some businesses and individuals register on the Financial Services Provider Register (FSPR) to mislead overseas investors that their activities are regulated by us or other authorities. We do not oversee or maintain the FSPR, the Companies Office performs this role. But we do have the power to deregister a business or individual or prevent them from registering in the first place. Read about the work we’re doing to tackle misuse of the register and some useful case studies that provide examples of where we’ve taken action.
    Tags
    Reports and Papers, FSPR, Business, News & Insights
    Type
    PDF

  15. 13 December 2016

    ASX 24 review 2016

    Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives
    market) in New Zealand. We are required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations. This review period covers 1 July 2014 to 30 June 2016. This is our first review of ASX 24 since its licence came into effect on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF