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  1. 1 March 2016

    Consultation paper Exemptions impacting overseas businesses and restricted schemes 1

    This consultation is for: FMC reporting entities, licensed
    managers and scheme auditors, overseas banks, licensed independent trustees, restricted scheme managers, advisers and interested parties. It aims to seek feedback on the
    exemption proposals explained.
    Tags
    Independent trustee, Managed investment schemes, Consultations, Roles, Business
    Type
    PDF

  2. 3 July 2014

    Review of non-filing of financial statements

    The purpose of this report is to remind directors of their statutory financial reporting obligations under the Financial
    Reporting Act 1993 (FRA), remind brokers and directors of the statutory filing obligations under the Securities Act (Contributory Mortgage) Regulations 1988, inform market participants of the findings of our review and highlight areas of concern, and inform market participants of FMA’s future focus in this area.
    Tags
    Client money or property services provider, Directors, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  3. 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

  4. 4 November 2021

    Record keeping self assessment tool

    Keeping accurate records of the financial advice you provide helps maintain a relationship of transparency and trust with your clients. It also ensures you can provide evidence of how you have complied with your licensee obligations as and when required.
    Use this self-assessment tool to see if you’re ready to complete the record keeping section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.
    Tags
    Financial Adviser, New Financial Advice regime, Roles, Business
    Type
    PDF

  5. 12 July 2022

    Self assessment tool complaints handling

    Use this self-assessment tool to see if you’re ready to complete the complaints handling section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Roles, Business
    Type
    PDF

  6. 30 September 2020

    Consultation Auditor Regulation Act Replacement and Amendments

    This consultation is for: licensed auditors and registered audit firms, accredited bodies, and other interested parties.
    Itseek views from licensed auditors and registered audit firms on the proposed revocation of the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012 and Amendment Notice 2015, and introduction of the Auditor
    Regulation Act (Prescribed Minimum Standards and
    Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.
    Tags
    Auditors, Consultations, Roles, Business
    Type
    PDF

  7. 9 December 2020

    Overseas research reports 2020

    Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 from 15 March 2021.
    Tags
    Reports and Papers, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Directors, Financial Advice Provider, Financial Adviser, Roles, Business, News & Insights
    Type
    PDF

  8. 18 January 2021

    Consulation Review of wholesale investor exclusion exemption

    This consultation is for all interested people including wholesale investors, banks, brokers, issuers and legal advisers. It seeks feedback to inform our review of the
    Financial Markets Conduct (Wholesale Investor Exclusion - $750,000 Minimum Investment) Exemption Notice 2017.
    Tags
    Offer disclosure for equity and debt offers, Managed investment schemes, Consultations, Roles, Supervisor, Business
    Type
    PDF

  9. 30 April 2021

    OIA KiwiSaver FUM Funds

    Kiwisaver FUM forecasts/projections OIA response, dated 30 April 2021
    Tags
    Type
    PDF, OIA

  10. 28 June 2017

    Statement of Intent 2017

    Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2017 report.
    Tags
    Type
    PDF, Statement of intent, Corporate publications

  11. 30 November 2017

    Audit Quality Monitoring report 2017

    Our quality reviews help improve audit quality standards and ensure audit opinions are reliable. These reviews also help us to achieve our strategic goal of ensuring that investors have access to resources that help them make better informed financial decisions. This report summarises our findings from the quality reviews we carried out between 1 July 2016 and 30 June 2017.
    Tags
    Monitoring, Reports and Papers, Business, News & Insights
    Type
    PDF

  12. 12 March 2018

    MIS regulatory returns sample tables

    This spreadsheet should be considered an example of the regulatory return information required by MIS managers.
    Tags
    Managed investment schemes, Roles, Business
    Type
    Spreadsheet, Information Sheet

  14. 1 October 2020

    COVID-19: Timetable of deferred Regulatory initiatives

    The table provides a list of the regulatory initiatives that are being deferred during the Covid-19 Alert Levels in August and September 2021. These deferrals will enable banks and other financial services firms to focus their efforts more effectively on continuing to operate smoothly and providing credit and other support to individuals and businesses.
    Tags
    COVID-19, News & Insights
    Type
    PDF, Notice

  15. 16 December 2020

    FMA Annual Report 2020

    The 2020 FMA Annual Report highlights our key work from the 2019/2020 financial year, including our response to the COVID-19 crisis, and a range of enforcement activity.
    Tags
    Type
    PDF, Annual report, Corporate publications