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Found 218 results. Displaying page 2 of 15

27 July 2023

The Conduct of Financial Institutions regime presentation by Michael Hewes Financial Markets Law Conference

Michael Hewes, Director Deposit Taking, insurers and advice at the FMA presents at the Financial Markets Law conference.
27 June 2023

NZX Obligations Review 2023

Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2022.
26 June 2023

CoFI intermediated distribution submissions report

Submissions report: Proposed guidance on CoFI intermediated distribution. Collation of written feedback received as part of the FMA’s public consultation on the proposed CoFI (Conduct of Financial Institutions) guidance note on intermediated distribution.
26 June 2023

CoFI Intermediated Distribution guidance note

CoFI guidance note: Intermediated distribution. This guidance note is for financial institutions. It gives guidance on the FMA’s expectations when financial institutions distribute products and services through intermediaries.
26 June 2023

CoFI intermediated distribution consultation themes

Summary of key themes. An overview of feedback received as part of consultation on the proposed CoFI guidance note on intermediated distribution.
15 June 2023

ICE Futures Europe general obligations review 2023

The 2023 ICE Futures Europe general obligations review focuses on whether the FCA was satisfied with IFEU’s compliance during the review period.
15 June 2023

ICE Futures US general obligations review 2023

The 2023 ICE Futures US general obligations review review focuses on whether the CFTC was satisfied with IFUS’s compliance during the review period.
19 May 2023

FMA Annual Letter of Expectations for 2024

Annual letter of expectations from the Minister to the FMA for the priod 2023-2024.
6 April 2023

Peer-to-Peer lending and Crowdfunding: sector snapshot

Crowdfunding and Peer-to-Peer sector report for the 2022 period.
24 January 2023

Ease of Doing Business Survery 2022

The FMA commissioned FiftyFive5 to conduct research among key stakeholders to understand the effectiveness of their interactions with the FMA and satisfaction with the services provided. This is the seventh year (2022) this stakeholder research has been conducted.
15 December 2022

ASX 24 Obligations Review 2022

This review covers the period 1 July 2020 to 30 June 2022 and is our fourth review of ASX 24 since its licence came into effect on 1 December 2014.
15 December 2022

SGX DT Obligations Review 2022

This report covers the FMA’s review of SGX-DT for the period 14 September 2021 (the commencement date of SGX-DT’s licence) to 30 June 2022.
16 November 2022

Audit Quality Monitoring Report 2022

The Audit Quality Monitoring Report for 1 July 2021 – 30 June 2022. This this year’s report emphasises that high-quality audits are vital to ensuring investors can make active choices based on clear, concise, and effective information.
27 October 2022

Speeches

The FMA speeches at major events and to stakeholders are published on this page.
20 October 2022

Thematic review of use of the wholesale investor exclusion

Findings from the FMA’s thematic review of wholesale offers of financial products, along with guidance for offerors and those who provide confirmation for eligible investor certificates. Published 20 October 2022.