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1 May 2014

Governance and accountability framework for restricted schemes and their trustees information sheet

The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for restricted schemes and their trustees.
1 May 2014

Governance and accountability framework for debt issuers and their licensed supervisors

The Financial Markets Conduct Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors.
1 April 2014

FMA’s new role as regulator of conduct

From 1 April 2014 FMA replaces the Commerce Commission as the primary regulator of conduct in relation to financial products and services. Find out what this means.
1 March 2014

KiwiSaver schemes monitoring investment risk guidance

This Guidance Note is designed to assist Trustees of retail non-restricted KiwiSaver schemes (Trustees), in performing their functions effectively.
11 February 2014

ASX Ltd Financial Product Market Licence 2014

New Zealand Financial Product Market Licence (Australian Securities Exchange Limited) 2014
1 February 2014

Broker Obligations guidance note

The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.
10 December 2013

Exemption Notice - revocation notice Securities Act TradeMe Limited 2013

Securities Act Exemption Notice 2013: Trade Me Limited Pre-paid Accounts.
18 November 2013

Changes ahead for Financial Reporting FMA Factsheet

Information sheet relating to the Financial Reporting Bill and what to expect: 18 November 2013.
13 November 2013

Consultation licensing derivatives issuers

Consultation: Draft minimum standards and licence conditions for derivative issuers.
13 November 2013

Consultation licensing independent trustees

Consultation: Draft minimum standards and licence conditions for independent trustees of restricted schemes.
13 November 2013

Consultation licensing DIMS providers

Consultation: Draft minimum standards and licence conditions for Discretionary Investment Management Service (DIMS) providers.
13 November 2013

Consultation licensing MIS

Consultation: Draft minimum standards and licence conditions for managers of non-restricted and registered Managed Investment Schemes (MIS).
12 November 2013

Consultation licensing peer to peer lending

Consultation: Draft minimum standards and licence conditions for peer-to-peer lending service providers (P2P).
8 November 2013

NZX Participant Rules - Approval of market rules notice 2013

This notices comes into force on 11 Nov 2013. This notice allows for NZX to replace the NZX Participant Rules dated 24 Aug 2012 with the NZX Participant Rules dated 8 Nov 2013
1 November 2013

A Guide to the Financial Markets Conduct Act 2013 Reforms

This Guide explains the purposes of the Financial Markets Conduct (FMC) Act 2013 and how it fits in with other financial markets reforms. There is also a big picture view of the main reforms included in the FMC Act.