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30 September 2016

Exemption Notice - Financial Markets Conduct Lifetime Asset Management Limited

Financial Markets Conduct (Lifetime Asset Management Limited) Exemption Notice 2016
23 September 2016

Exemption Notice - Financial Markets Conduct IG Markets Limited

Financial Markets Conduct (IG Markets Limited) Exemption Notice 2016
16 September 2016

Exemption Notice - Securities Act Smartshares Limited

Securities Act Exemption Notice 2016: Smartshares Limited.
12 September 2016

Exemption Notice - Financial Markets Conduct Bay Energy Limited

Financial Markets Conduct (Bay Energy Limited) Exemption Notice 2016
24 August 2016

Aug 2016 Regulatory response guidelines

This is a guide on how we regulate financial markets and the responses we use in enforcing legislation. It is for all individuals and businesses involved in providing financial market products and services.
24 August 2016

FMA Co-operation policy 2016

The Financial Markets Authority (FMA) often receives the co-operation of entities or individuals when we investigate financial market misconduct. When deciding whether to pursue a regulatory response against an entity or individual, and if so, what sanction to use, one of the factors we may consider is the nature and extent of any co-operation they have provided.
23 August 2016

Exemption notice - Financial Markets Conduct Antipodes Gold Limited

Financial Markets Conduct Exemption Notice 2016: Antipodes Gold Limited.
19 August 2016

CoFR Financial Markets - Regulatory Charter

New Zealand Council of Financial Regulators: Regulatory Charter
18 August 2016

AMP Wealth Management Limited - Notice under section 68 of the Financial Markets Conduct Act 2013 Reduction of waiting period

AMP Wealth Management Limited - Notice under section 68 of the Financial Markets Conduct Act 2013 Reduction of waiting period
15 August 2016

Legislative notices supporting the FMC Act regime

To support businesses implementing the Financial Markets Conduct Act 2013 (FMC Act), the FMA has been working, in consultation with the sector, on various legislative tools such as exemptions, frameworks, methodologies, public accountability notices, and designations (the FMA’s legislative tools). We have also been working with the Ministry of Business, Innovation, and Employment (MBIE) on the amendments to the Financial Markets Conduct Regulations 2014 (FMC Regulations). These tools and regulatory amendments are designed to help businesses and individuals comply with the requirements of the FMC Act regime.
4 August 2016

Review of corporate goverance disclosure 2016

This 2016 report presents our review of corporate governance reporting. We are sharing these findings with companies so they can reflect on their governance practices and disclosures.
1 August 2016

Authorised Financial Advisers in NZ — key findings 2016

This report is a summary of industry trends from AFA information returns 1 July 2013 - 30 June 2015.
8 July 2016

Exemption notice - Financial Markets Conduct Foodstuffs Provident Fund

Financial Markets Conduct Exemption Notice 2016: Foodstuffs Provident Fund.
5 July 2016

Kiwisaver Statements survey results 2016

In May 2016, Colmar Brunton carried out research for the FMA among the general public to understand how KiwiSaver statements are perceived and how people use them.
1 July 2016

AML CFT How to complete your annual CFT user guide 1

This user guide is designed to help financial advisers to complete their annual AML/CFT report (annual report) quickly and easily. It clarifies the questions in the report template that may be open to interpretation and identifies questions that are unlikely to be relevant to small financial adviser businesses. It does not include the questions that don’t need explanation. This guide is current for 2016.