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30 August 2014

Guidance - One off Issuers

This information sheet clarifies when one-off or occasional issuers must register on the Financial Service Providers Register (FSPR) under the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (in addition to any disclosure obligations that they may have under the Financial Markets Conduct Act 2013).
1 August 2014

Fair dealing provisions transitional arrangements for advertising information sheet

The fair dealing provisions relating to “financial products” and “financial services” make it an offence to engage in misleading or deceptive conduct in relation to financial products or to make false, misleading or unsubstantiated representations about financial products.
2 July 2014

Exemption Notice - Securities Act Vista Group International Limited

Securities Act (Vista Group International Limited) Exemption Notice 2014
30 June 2014

Going Concern disclosures in financial statements

The purpose of this 2014 report is to inform market participants of the findings of our review and highlight areas of concern.
30 June 2014

Exemption notice - Securities Act Kiwi Income Property Trust

Securities Act Exemption Notice 2014:Kiwi Income Property Trust.
29 June 2014

NZX Obligations Review 2014

NZX, as New Zealand’s only Registered Exchange, is an essential part of New Zealand’s financial markets. The General Obligations Review provides FMA with the opportunity to report on the adequacy of the arrangements NZX had in place to comply with its obligations during a particular review period, and to identify issues that, in FMA’s view, would assist NZX to ensure its continued compliance.
18 June 2014

Licensing guide - small DIMS businesses

This guide supplements our main licensing application guide. It outlines how a small business providing lower risk Discretionary Investment Management Services (DIMS) can approach an application for a DIMS licence under the Financial Markets Conduct Act 2013 (FMC Act).
17 June 2014

NZ Markets Disciplinary Tribunal Rules - Approval of market rules notice 2014

This notice allows for NZX to replace the NZ Markets Disciplinary Tribunal Rules dated 5 March 2013 with the NZ Markets Disciolinary Tribunal Rules dated 31 Jan 2014
1 June 2014

Certificate of compliance and authority to apply applicant or their authorised person

Certification of Applicant's compliance with requirements and authority to apply for market service licence under Part 6 of the FMC Act 2013. This is relevant to Crowd funding; Peer-to-peer; MIS; DIMS; derivative issuers and independent trustee applicants.
1 June 2014

FMA’s supervision of Anti-Money Laundering and Countering Financing of Terrorism

This 2014 document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).
1 June 2014

Declaration by current proposed senior manager of licence applicant

Declaration to be completed by a current proposed senior manager of a licence applicant for all applications for roles under the FMC Act 2013.
1 June 2014

Declaration by current proposed director of licence applicant

Declaration to be completed by current or proposed directors of a licence applicant for market services licences under the FMC Act 2013.
1 June 2014

Curriculum vitae of management team member of licence applicant

Form to be completed with details of the Curriculum vitae of management team members of a licence applicant for all applications under the FMC Act 2013.
1 June 2014

Declaration by independent trustee individual

Declaration form to be completed by individual independent trustees.
1 June 2014

Investor Confidence Research 2014

The Investor confidence Research report 2014 measures attitudes towards and investment in New Zealand’s financial markets. The research was carried out online using Colmar Brunton’s omnibus.