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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.
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.
22 May 2017

Consultation Proposed exemption from obligation to prepare scheme financial statements for bundled unit trusts

This consultation is for: managers, supervisors, auditors, administration managers, investors. It aims to: seek feedback on the exemption proposal for bundled unit trusts.
16 May 2017

Exemption notice - Financial Advisers Certified Investment Management Analyst

Financial Advisers (Certified Investment Management Analyst) Exemption Notice 2017.
15 May 2017

Regulatory Impact Statement: Designation of shares in investment companies 2017

This document is for investment companies, managers, advisers. It discusses a class designation of certain shares in investment companies as managed investment products.
11 May 2017

Exemption Notice - Financial Markets Conduct KiwiSaver Annual Statement Fees

Financial Markets Conduct (KiwiSaver Annual Statement Fees) Exemption Notice 2017
9 May 2017

IMF financial system stability assessment 2017

This report is based on the work of the Financial Sector Assessment Program (FSAP) missions that visited New Zealand in August 16–September 7, 2016 and November 2–17, 2016.
9 May 2017

Exemption notice - Mayfield Hinds Irrigation Notice

FMC Exemption notice issued to Mayfield Hinds Irrigation Scheme 2017
9 May 2017

IMF 2016 review of NZ

The FSAP is a comprehensive assessment of the country’s financial sector and was coordinated by the Reserve Bank of New Zealand (RBNZ) on behalf of the members of New Zealand’s Council of Financial Regulators, which includes the FMA, the Treasury and MBIE. New Zealand’s prudential and securities regulation was tested against international principles and practices.
5 May 2017

FMC (NZX Main Board/Debt Market Listing Rules) Approval of Rule Change Notice 2017)

The changes approved in this notice are: a new NZX Corporate Governance Code that will replace existing Appendix 16 to the Listing Rules, changes to the Listing Rule 10.4.5, changes to references to the title of Appendix 16, and correction of a typographical error.
4 May 2017

Consultation proposed guidance Substantial product holder disclosures

This consultation is for: Fund management firms and their employees; anyone who has, or may have, a substantial holding in a listed issuer, and other interested parties.
28 April 2017

Exemption notice - Berkshire Hathaway Specialty Insurance Company

Financial markets Conduct Exemption Notice 2017: Berkshire Hathaway Specialty Insurance Company.
28 April 2017

Exemption Notice - Plus500 AU Pty Ltd 2017

Financial Markets Conduct Exemption Notice 2017: Plus500AU Pty Ltd.
14 April 2017

Exemption Notice - Gordian RunOff Limited

Financial Markets Conduct Exemption Notice 2017: Gordian RunOff Limited.
11 April 2017

Consultation paper Improving financial information in an equity PDS

This consultation is for issuers, their advisors, investors and other interested parties. It aims to seek feedback on our proposed guidance and interpretations of the regulations.