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29 September 2023

Consultation paper Proposed liquidity risk management guidance

Consultation: Proposed liquidity risk management guidance.
29 September 2023

Feedback form Liquidity risk management

Feedback form of Liquidity risk management draft guidance.
28 September 2023

Catalist market operator obligations review 2023

Findings from the FMA’s review of how well Catalist is meeting its licensed market operator obligations, for the period 1 April 2022 to 31 March 2023.
26 September 2023

NZX Listing Rules Amendment Notice NZX Capital Raising settings amendments

NZX Listing Rules Amendment Notice NZX Capital Raising settings amendments
21 September 2023

Trustee and Nominee exemptions

The Trustee Corporations and Nominee Companies which have notified FMA that they have opted in to this exemption are listed here.
20 September 2023

KiwiSaver Annual Report 2023

The KiwiSaver Annual Report 2023 summarises our activities as a regulator relating to KiwiSaver during the reporting previous financial year.
19 September 2023

Craigs Investment Partners Self Select Schemes levy waiver notification 2023

Craig's Investment Partners Self Select Schemes levy waiver issued by the FMA.
5 September 2023

Governance Thematic Review FMA and RBNZ

This publication reports on the findings from a joint review of 29 entities across the banking, insurance, non-bank deposit taking and investment management sectors to assist boards to meet their obligations and help drive good governance outcomes.
24 August 2023

Exemption Notice- Financial Markets Conduct Times-7 Group

The Financial Markets Conduct (Times-7 Group) Exemption Notice 2023 exempts Times-7 Holdings Limited and Times-7 Research Limited (together, the issuers) from compliance with the disclosure requirements of Part 3 of the Financial Markets Conduct Act 2013 (Act).
23 August 2023

Regulatory returns questions for licensed MIS

Annual regulatory return information to be provided by licensed MIS providers to the FMA.
17 August 2023

AML/CFT Explanatory Note: Electronic Identity Verification Guideline

This Explanatory Note: Electronic Identity verification Guideline replaces the previous Explanatory Note that was published by the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Supervisors in December 2017.
11 August 2023

Waivers

Explore a comprehensive list of the FMC Act waivers offering by FMA. Get insights on financial markets authority and FMC waivers.
3 August 2023

Enforcement Policy

Our enforcement policy is intended to guide and inform financial market participants. It is also intended to be a living policy and we may revise it from time to time according to what our objectives and priorities are. It is not exhaustive and is not binding.
2 August 2023

Class legislative notices summary 2023

This is a summary of the Financial Markets Conduct Act class legislative notices we have granted (and are in force) as at 1 June 2023. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.
2 August 2023

Exemptions

The FMA has wide powers to provide exemptions to persons or transactions from some financial markets law requirements. These powers enable us to remove rigidities in the law and ensure requirements for businesses are reasonable and cost-effective. Read more about exemptions; exemption categories; how to apply for an exemption including digital advice exemptions on this page.