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1. 19 May 2023

   Derivative Issuer Regulatory Return Data Template

   Regulatory return data template for derivative issuers.

2. 19 May 2023

   DIMS Regulatory Return Data Template

   DIMS Regulatory Return Data Template.

3. 18 May 2023

   Exemption Notice - Embark Early Education Limited

   The Financial Markets Conduct (Embark Early Education Limited) Exemption Notice 2023 exempts Embark Early Education Limited (Embark AU) from Part 3 of the Financial Markets Conduct Act 2013 (the Act) in relation to shares in Embark AU that are to be offered to eligible shareholders under a proposed scheme of arrangement pursuant to Part 15 of the Companies Act 1993.

4. 10 May 2023

   Exemption notice - Sharesies Investment Management Limited

   The Notice exempts Sharesies Investment Management Limited (Sharesies) as manager of the Sharesies KiwiSaver Scheme (Scheme), and the self-select fund in the Scheme (self-select fund) from certain provisions of the Financial Markets Conduct Act 2013.

5. 9 May 2023

   Exemption notice expired - Sharesies 2023

   Sharesies EXPIRED exemption notice.

6. 9 May 2023

   Sharesies levy waiver

   Pursuant to REgulation 14 of the Financial Markets Authority (Levies) Regulations 2012, the FMA grated a waiver of part of the FMA levy to the proposed Sharesies KiwiSaver Scheme.

7. 9 May 2023

   Supervisors Licence Covenant Trustee Services Limited

   This is to certify that COVENANT TRUSTEE SERVICES LIMITED FSP30521, is licensed under section 16(1) of the Financial Markets Supervisors Act 2011 to act as a supervisor in respect of debt securities; a supervisor in respect of registered schemes excluding KiwiSaver schemes, Superannuation schemes and Workplace Savings schemes and a statutory supervisor in respect of retirement villages.

8. 8 May 2023

   Supervisor Licence - the new zealand guardian trust company limited

   This licence certificate is to certify that The New Zealand Guardian Trust Company LImited, FSP33501 is licenced as a Supervisor in respect of debt securities and registered schemes in New Zealand.

9. 27 April 2023

   Change of manager director notification form

   Reg 191 form for FMCA licence types.

10. 27 April 2023

    30 September 2022 Disclose Register MIS fund update

    Disclose Register MIS fund update 30 September 2022

11. 27 April 2023

    31 December 2022 Disclose Register MIS fund update

    MIS Disclose Data 31 December 2022

12. 20 April 2023

    Am I a Climate Reporting Entity FAQ

    Entities required by legislation to produce climate statements are known as Climate Reporting Entities or CREs. Find out if you are a Climate Reporting Entity on this fact sheet.

13. 20 April 2023

    Authorised Bodies Climate Reporting Entities Flow Chart

    This flowchart can be used to determine if an authorised body is a climate reporting entity.

14. 6 April 2023

    Peer-to-Peer lending and Crowdfunding: sector snapshot

    Crowdfunding and Peer-to-Peer sector report for the 2022 period.

15. 4 April 2023

    Effective disclosure guidance

    This guidance note is for Issuers of securities under the Securities Act 1978 pursuant to the transitional provisions of the Financial Markets Conduct Act 2013. It is also for their directors and advisers. It gives guidance on the approach the Financial Markets Authority (FMA) intends to take in reviewing prospectuses and investment statements for compliance with the law.