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1. 30 June 2021

   Filing of financial statements: review findings and guidance

   This document provides a summary of the key findings and insights from our monitoring review of financial reporting filing obligations. It also provides guidance and sets our expectations for future reporting periods.

2. 29 June 2021

   ICE Futures Europe general obligations review 2021

   The UK Financial Conduct Authority (FCA) is IFEU’s primary regulator. Our review therefore focuses on whether the FCA was satisfied with IFEU’s compliance during the review period. 2021 ICE Futures Europe general obligations review

3. 29 June 2021

   ICE Futures US general obligations review 2021

   The US Commodity Futures Trading Commission (CFTC) is IFUS’s primary regulator. Our review therefore focuses on whether the CFTC was satisfied with IFUS’s compliance during the review period. 2019-2020 ICE Futures US general obligations review.

4. 28 June 2021

   NZX Market Operator Obligations Review 2021

   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 2020

5. 24 June 2021

   How to operate

   Getting prepared for licensing covers: who will need a licence under the new financial advice regime; the different ways to operate under the new regime, and provides an easy-to-navigate tool that will help guide you through the options if you're unsure how you wish to operate. See more.

6. 22 June 2021

   MIS liquidity risk management review

   This report contains recommendations on liquidity stress testing frameworks, processes and procedures, following the August 2020 self-assessment survey completed by regulated entities for a two-year period ending 31 December 2019. It will be useful for directors, senior management and investment personnel of managed investment schemes.

7. 21 June 2021

   New Zealand Financial Product Market Licence Catalist Public Market 2021

   New Zealand Financial Product Market Licence Catalist Public Market 2021

8. 16 June 2021

   Financial advice lender exclusion updated 2021

   This information sheet explains the circumstances that may exclude a lender from some Financial Markets Conduct Act 2013 (FMC Act) obligations related to financial advice. The exclusion applies only in relation to consumer credit contracts and certain credit-related insurance contracts. Updated documented published 16/06/21

9. 16 June 2021

   KiwiSaver switching behaviour 150621

   The aim of this research was to identify how any switches and other transactions took place between Febuary and April 2020 at the height of the market volatility associated with COVID-19

10. 16 June 2021

    Licensing interposed persons and engaged entity arrangements information sheet

    This information sheet sets out FMA’s approach to licensing financial advice arrangements and provides guidance on circumstances where an engaged entity or interposed person won’t need to be licensed as a FAP.

11. 14 June 2021

    Auditor Regulation and Oversight Plan 2021-2024

    This report summarises our plan relating to auditor oversight, as part of our obligation under section 52 of the Auditor Regulation Act 2011. It includes small changes to our previous plan, but overall our focus areas remain unchanged.

12. 17 May 2021

    Negative Interest Rate report 2021

    This report is for FMA-licensed entities and their key stakeholders. It gives feedback on key findings of the FMA’s September 2020 survey on industry readiness for negative interest rates.

13. 30 April 2021

    CoFR Consumer Vulnerability Framework April 2021

    Members of the Council of Financial Regulators (CoFR)1 have agreed on a common understanding of the characteristics of a vulnerable consumer. We are presenting this as a framework to help industry in developing their own approaches to assisting vulnerable consumers. This framework is non-binding and serves as a guideline only. We would anticipate firms to consult widely in developing their own terminology, procedures, and processes for assisting vulnerable consumers. These should focus on the evolving needs of the consumers they serve, should be appropriate for their business and in accordance with any specific legislative requirements.

14. 13 April 2021

    Managed fund fees and value for money - submissions report

    In December 2020 we published a consultation paper seeking input from KiwiSaver managers, KiwiSaver supervisors, other MIS managers, and other interested parties, on the regulatory approach to the statutory requirement that KiwiSaver fees must not be unreasonable and the related overarching statutory duties. This report summarises the feedback we received.

15. 13 April 2021

    KiwiSaver performance fees guidance note

    This guidance note updated in 2021 is intended for the managers and supervisors of KiwiSaver schemes. It sets out the criteria against which the Financial Markets Authority (FMA) will assess the reasonableness of performance fees.