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  1. 1 June 2015

    Auditor regulation and oversight plan 2015 2018

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways
    we ensure these audits are done well is by reviewing audits at registered audit firms.This plan is for the 2015-2018 period.
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  2. 1 July 2020

    culwalla consulting submission

    Response to Consultation Paper - Culwalla Consulting:
    Practical implications of Reporting Entities transacting with other Reporting Entities and the Factsheet on Managing Intermediaries.
    Tags
    Consultations, Business
    Type
    PDF

  4. 1 August 2013

    Westpac submission

    Submission from Westpac New Zealand Limited in response to the Consultation Paper: Practical implications of reporting entities transacting with other reporting entities, 8 Aug 2013
    Tags
    Consultations, Business
    Type
    PDF, Letter, Submission form

  6. 1 June 2016

    Auditor regulation and oversight plan 2016 2019

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways
    we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2016-2019 period.
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  8. 18 October 2021

    Financial Markets Conduct (Christchurch City Holdings Limited Sustainable Bond Offer) Exemption Notice 2021

    The Financial Markets Conduct (Christchurch City Holdings Limited Sustainable Bond Offer) Exemption Notice 2021 [hyperlink to the notice] exempts Christchurch City Holdings Limited (CCHL), subject to conditions, from the disclosure, governance, and financial reporting requirements in Parts 3, 4 and 7 of the Financial Markets Conduct Act 2013 (the Act) in relation to offers of ‘sustainable’, ‘sustainability’, ‘green’ ‘social’, or similar bonds (Sustainable Bonds) issued under CCHL’s sustainability framework.
    The effect of the exemptions is that CCHL will be able to offer the Sustainable Bonds on a similar basis to an offer made in reliance on clause 19 of Schedule 1 of the Act (the same class offer exclusion).
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  12. 6 December 2021

    AML/CFT Sector Risk Assessment 2021

    Our Sector Risk Assessment (SRA) helps us and the Reporting Entities we supervise understand the risks of money-laundering
    (ML) and terrorism financing (TF) in each sector. This SRA
    replaces our SRA published in 2017.
    Tags
    AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF

  13. 30 June 2016

    Apple Fields Limited - Justin Prain and Mark Schroeder

    FMA brought charges against directors of Apple Fields Limited (Apple Fields) for breaches of the Financial Reporting Act 1993, by not filing financial statements for three years (2011, 2012 and 2013).
    Tags
    Financial reporting breaches, Breach, Enforcement
    Type
    Page

  15. 1 November 2022

    Du Val Mortgage Fund Limited Partnership

    Du Val Mortgage Fund Limited Partnership (FSP1000594) is an AML/CFT reporting entity
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page