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  1. 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

  2. 18 March 2013

    2013 Annual letter of expectations

    Annual letter of expectation 2013 written by the Minister to the FMA.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  3. 16 February 2016

    2016 FMA letter of Expectations

    The annual letter of expectations 2016 issued by the Minister to the FMA that sets out expectations of the Minister to the FMA as a crown entity.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  4. 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

  5. 28 January 2014

    2014 Letter of Expectations

    The letter of expectation 2014 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

  6. 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, Market operator, Roles, Monitoring, Business, News & Insights
    Type
    PDF

  7. 12 January 2016

    NZMDT Market Rules 2016

    This notice allows for the NZX to replace the NZ Markets Disciolinary Tribunal Rules date 16 April 2015 with the NZMDT Rules provided to the FMA on 11 Nov 2015
    Tags
    Market operator, Roles, Business
    Type
    PDF, Notice

  9. 30 November 2016

    Portfolio Superannuation Fund Levy Waiver

    On 23 November 2016 the FMA granted a
    waiver of part of the FMA levy to Portfolio Superannuation Fund in respect of its Personal Plans funds. The Scheme is comprised of the Personal Plans, with Saturn Invest New Zealand Limited (Saturn) acting as the manager of the Scheme.
    Tags
    Managed investment schemes, Investor information, KiwiSaver & Superannuation, Roles, Waivers, Business, Consumer
    Type
    PDF

  10. 22 May 2018

    2018/2019 Annual letter of Expectations

    2018 Annual letter of expectations issued by the Minister to the FMA.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  11. 22 November 2018

    Portfolio Superannuation Scheme Levy Waiver

    On 22 November 2018, the FMA granted a waiver of part of the FMA levy to Portfolio Superannuation Scheme, which is comprised of the Personal Plans, with Saturn Invest New Zealand Limited (Saturn) acting as the manager of the Scheme.
    Tags
    Managed investment schemes, Investor information, KiwiSaver & Superannuation, Roles, Waivers, Business, Consumer
    Type
    PDF

  12. 12 August 2021

    OIAP Referrals to FMA under FSP Act

    OIAP response dated 12 August 2021, Referrals to FMA under FSP Act - Request for statistics relating to referrals to the FMA under the FSP Act 
    Tags
    Type
    PDF, OIA

  13. 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

  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

  15. 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