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  1. 29 June 2017

    NZX Obligations Report 2017

    This report outlines our annual review of how well NZX is meeting its statutory obligations, and covers the 2016 calendar year.

  2. 28 June 2017

    Ice Futures Europe review 2017

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand. We are required to report, at least once every two years on how well IFUS is meeting its obligations as a licensed market operator. This review covers the period 1 December 2014 to 31 December 2016. This is our first review of IFUS since it became licensed on 1 December 2014.

  3. 28 June 2017

    Ice Futures US review 2017

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand. We are required to report, at least once every two years on how well IFUS is meeting its obligations as a licensed market operator. This review covers the period 1 December 2014 to 31 December 2016. This is our first review of IFUS since it became licensed on 1 December 2014.

  8. 21 June 2017

    Consultation paper Robo advice exemption

    This consultation is for financial advisers, financial product providers, consumers and other interested parties. It seeks feedback on the exemption proposal to facilitate the provision of personalised robo-advice.

  9. 7 June 2017

    KiwiSaver annual statements methodology notice

    This notice comes into force on 2017 and applies to accounting periods of KiwiSaver schemes that commence on or after the commencement date of this notice. The notice sets out a methodology which managers of KiwiSaver schemes must comply with when calculating the approximate total sum of the fees paid by each of their scheme participants. This information (which must be expressed as a dollar amount) must be included in the confirmation information that KiwiSaver providers are required to provide to each scheme participant each year pursuant to the Financial Markets Conduct Act 2013 (Act).

  11. 2 June 2017

    Amendment Notice 2017 FMC Shares in Investment Companies Designation

    The amendment notice amends the Financial Markets Conduct (Shares in Investment Companies) Designation Notice 2017 which came into force on the 19 May 2017. The notice declares that certain shares in investment companies are managed investment products rather than equity securities for the purposes of the FMC Act, but the princepal notice does not apply to shares that are NZX Main Board shares.

  12. 24 May 2017

    Licensing overview report 2017

    The licensing overview report 2017 aims to outline how the FMA applied a flexible approach to applications; explains how the minimum standards and FMC Act eligibility criteria fit together; shows the linkage between good conduct and minimum standards, signals our fugure focus and clarified ongoing legal obligations.

  13. 23 May 2017

    Licensing guide - FMC Act

    To offer certain financial products and services in New Zealand, you need to be licensed. Being licensed shows your customers you meet the legal eligibility criteria and levels of compliance in the Financial Markets Conduct Act (FMC Act). This guide provides you with an understanding of your obligations under the Act when applying for a licence with the FMA.