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1. 12 November 2020

   Audit Quality Director's Guide 2020

   The Audit Quality Directors Guide 2020 handbook is aimed at directors of FMCreporting entities. It sets out how you, as a director, can contribute to the quality of your audit, as well as what you can expect from the FMA and your auditor.

2. 5 November 2020

   FAP standard conditions full licence RIS

   This Regulatory Impact Statement (RIS) discusses standard conditions for financial advice provider (FAP) licences, to be imposed by the FMA.

3. 3 November 2020

   Exemption Notice - Sharesies Limited

   Financial Markets Conduct Exemption Notice 2020: Sharesies Limited.

4. 30 October 2020

   Financial Markets Conduct (NZX Rules) Approval of Rule Change Notice 2020 –2020

   Financial Markets Conduct (NZX Rules) Approval of Rule Change Notice 2020 which aplies to Derivative Market Rules; NZX Participant Rules; Fonterra Share Market Listing Rules and NZ Markets Disciplinary Tribunal Rules.

5. 30 October 2020

   Consultation KiwiSaver Fees and Value for Money

   This consultation seeks input from KiwiSaver managers, KiwiSaver supervisors, other MIS managers, and other interested parties, on the regulatory approach to the statutory requirement that KiwiSaver fees must not be unreasonable and the related overarching statutory duties.

6. 30 October 2020

   KiwiSaver fees and value for money feedback form

   Consultation feedback form: KiwiSaver fees and value for money

7. 22 October 2020

   Consultation paper Recognition of Australian Adviser Qualifications

   Consultation: This guidance note is for any person who gives regulated financial advice, and their advisers and interested parties. It seeks feedback on proposed recognition of certain Australian adviser qualifications.

8. 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.

9. 30 September 2020

   30 September 2020 Disclose Register KiwiSaver fund updates

   This document is the Disclose Register for KiwiSaver fund updates for 30 September 2020

10. 30 September 2020

    30 September 2020 Disclose Register MIS fund updates

    This document is the Disclose Register for MIS fund updates for 30 September 2020

11. 30 September 2020

    Approval of (NZX Listing Rules) - Approval of Rule Change Notice 2020

    This notices approves changes to the NZX Listing Rules and allows NZX to amend the disclosure settings for direct listings under the NZX Listing rules dated 1 Jan 2020

12. 25 September 2020

    Consultation licensing crowd funding

    Consultation: Draft minimum standards and licence conditions for crowd funding service providers.

13. 25 September 2020

    Kiwisaver Annual Report 2020

    The report details the principal matters transacted under the Act during the year ended 30 June 2020, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.

14. 23 September 2020

    Supervision Insights Report 2020

    An overview of the FMA’s supervision activities and findings from our monitoring reviews of regulated entities. This is our 2020 report.

15. 21 September 2020

    Exemption notice - Consilium KiwiWRAP Scheme

    Financial Markets Conduct (KiwiWRAP KiwiSaver Scheme) Exemption Notice 2020