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1. 23 October 2015

   Exemption notice - Securities Act Augusta Funds Management Limited Shands Road Limited Partnership

   Financial Markets Conduct Exemption Notice 2015: Augusta Funds Management Limited - Shands Road Limited partnership.

2. 22 October 2015

   Custodians obligations information sheet

   This information sheet explains the difference between a broker and a custodian, custodians for wholesale and managed investment scheme (MIS) clients, and custodians’ statutory obligations. We also list examples of different custodial arrangements.

3. 1 October 2015

   KiwiSaver Report 2015

   We are required to report each year on our main KiwiSaver activities. This year’s report covers the period from 1 July 2014 to 30 June 2015, and contains a summary of the statistical returns required to be lodged by KiwiSaver schemes as at 31 March 2015.

4. 30 September 2015

   30 September 2015 Disclose Register KiwiSaver fund updates

   This document is the Disclose Register for KiwiSaver fund updates for 30 September 2015

5. 28 September 2015

   Consultation Corporate vehicles used to manage costs in communal facilities for real property FMC Act designation and exemption

   This consultation is for real estate developers, property investors and agents, legal advisers and those involved in property development. It aims to seek views on whether corporate vehicles used to manage costs associated with communal facilities should be exempted from FMC Act regime

6. 25 September 2015

   Exemption Notice - Financial Markets Conduct IG Markets Limited

   Financial Markets Conduct (IG Markets Limited) Exemption Notice 2015

7. 16 September 2015

   Consultation Paper Employee Share Schemes

   This consultation is for companies, offerors, legal advisers. It aims to seek feedback on possible exemptions for employee share purchase schemes

8. 14 September 2015

   IPOs under the Financial Markets Conduct Act 2013 research report

   Research reports for IPOs under the Financial Markets Conduct Act 2013

9. 11 September 2015

   Exemption notice - Financial Reporting Act Lloyds Banking Group

   Financial Reporting Act (Lloyds Banking Group) Exemption Notice 2015

10. 11 September 2015

    First Mortgage and First Mortgage PIE Trust Waiver Notice

    First Mortgage and First Mortgage PIE Trust - Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary

11. 11 September 2015

    Exemption Notice - Securities Act Lloyds Banking Group 2015

    Securities Act Exemption Notice 2015: Lloyds Banking Group.

12. 4 September 2015

    Exemption Notice - Financial Markets Conduct CBL Corporation Limited and CBLNZ Limited

    Financial Markets Conduct (CBL Corporation Limited and CBLNZ Limited) Exemption Notice 2016

13. 3 September 2015

    Consultation paper auditor regulation act amendmment

    This consultation is for licensed auditors and registered audit firms. It aims to seek views from licensed auditors and registered audit firms on the proposed changes to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Firms) Notice 2012.

14. 25 August 2015

    Consultation paper scrip offers in takeovers

    This consultation is for businesses and their advisers. It aims to seek views on a proposal not to grant a class exemption from disclosure requirements for offers of financial products made in takeovers.

15. 13 August 2015

    Guide to market misconduct risks for MIS managers

    This information sheet is to help Managed Investment Scheme (MIS) managers understand how to manage market misconduct risks in trading activity.