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1. 19 February 2018

   Conduct Outcomes Report 2017

   The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017. It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018.

2. 13 February 2018

   Fonterra Shareholders - Approval of Rule Change Notice 2018

   The notice approves changes to the FSM Rules that were provided to the FMA by NZX for approval on 22 Dec 2017. These changes will be incorporated into the FSM Rules at a future date to be determined by the NZX.

3. 9 February 2018

   Exemption notice - Australian Qualified Financial Advisers

   Financial Advisers (Australian Qualified Advisers) Exemption Notice 2018.

4. 9 February 2018

   Exemption Notice - trueEX LLC

   Financial Markets Conduct Exemption Notice 2018 - trueEX LLC.

5. 7 February 2018

   Designation Amendment Notice MIPs

   Financial Markets Conduct (Shares in Investment Companies) Designation Amendment Notice 2018

6. 1 February 2018

   Designation of certain shares in investment companies as managed investment products information sheet

   This information sheet explains the class notice which designates certain shares in investment companies as managed investment products, and the company which issues them as a managed investment scheme.

7. 31 January 2018

   AML/CFT Guide for small financial adviser businesses

   This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).

8. 31 January 2018

   Exemption Notice - The Bank of New York Mellon 2018

   Financial Markets Conduct Exemption Notice 2018 - The Bank of New York Mellon.

9. 31 December 2017

   31 December 2017 Disclose Register KiwiSaver fund updates

   This document is the Disclose Register for KiwiSaver fund updates for 31 December 2017

10. 27 December 2017

    Identity Verification Code of Practice Explanatory Note

    The Amended Identity Verification Code of Practice 2013 (the code) clarified requirements for electronic identity verification following the implementation of the Electronic Identity Verification Act 2012 and the Identity Information Confirmation Act 2012. It replaced the previous Identity Verification Code of Practice 2011.

11. 12 December 2017

    Open letter to managers of collective investment schemes

    Open letter to managers of collective investment schemes ahead of the anti-Money laundering and Countering Financing Terrorism Act 2009.

12. 12 December 2017

    Class legislative notice summary 2017

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted in effect as at 1 December 2017.

13. 12 December 2017

    CPA accredited body report 2017

    This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2016 to 30 June 2017.

14. 12 December 2017

    NZICA accredited body report 2017

    This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2016 to 30 June 2017.

15. 1 December 2017

    AML/CFT interpreting ordinary course of business guideline

    This guideline is designed to help clarify the meaning of the phrase “in the ordinary course of business”. The meaning of this phrase is important if your business conducts one (or more) of the activities listed under the definitions of financial institution”, “designated non-financial business or profession”, and “high-value dealer” in the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).