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  1. 9 July 2018

    Consultation paper on legislative notices and unnecessary compliance cost

    This consultation paper is for participants who rely on our legislative notices; legal advisers; and other interested parties. It seeks feedback on whether any notice granted by us insufficiently addresses, or inadvertently creates, unnecessary compliance costs.
    Tags
    Consultations, Business
    Type
    PDF

  2. 9 July 2018

    Consultation paper on legislative notices and unnecessary compliance cost

    This consultation paper is for participants who rely on our legislative notices; legal advisers; and other interested parties. It seeks feedback on whether any notice granted by us insufficiently addresses, or inadvertently creates, unnecessary compliance costs.
    Tags
    Consultations, Business
    Type
    PDF

  3. 3 July 2018

    Class legislative notice summary 2018

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 2 July 2018. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  4. 3 July 2018

    Class legislative notice summary 2018

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 2 July 2018. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  5. 3 July 2018

    Disclosure of significant accounting estimates

    This information sheet explains our expectations on disclosure of significant accounting estimates. It is part of our work on improving the overall quality of information being disclosed in financial statements.
    Tags
    Business
    Type
    PDF, Information Sheet

  6. 3 July 2018

    Disclosure of significant accounting estimates

    This information sheet explains our expectations on disclosure of significant accounting estimates. It is part of our work on improving the overall quality of information being disclosed in financial statements.
    Tags
    Business
    Type
    PDF, Information Sheet

  7. 3 July 2018

    Disclosure of significant accounting estimates information sheet

    The Disclosure of significant account estimates information sheet explains our expectations on disclosure of significant accounting estimates. It is part of our work on improving the overall quality of information being disclosed in financial statements.
    Tags
    Compliance, Auditors, Directors, Roles, Business, FMA
    Type
    Page, Financial reporting, Guidance

  8. 2 July 2018

    QFE insurance providers’ replacement business practices

    This thematic review published in July 2018 focuses on QFE insurance providers’ replacement business practices and assesses how their policies and procedures are designed to ensure consumer protection at the point of policy replacement.
    Tags
    Reports and Papers, Insurance Providers, Business, News & Insights
    Type
    PDF

  12. 29 June 2018

    Switzerland recognises New Zealand audit oversight regime

    The Swiss Government has announced its recognition of the New Zealand audit oversight regime as equivalent to the Swiss standards, permitting NZ-regulated auditors to operate in Switzerland.
    Tags
    Auditors, Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Notice

  13. 28 June 2018

    NZX Obligations Review 2018

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2018.
    Tags
    Reports and Papers, Roles, Monitoring, Business, Market operator, News & Insights
    Type
    PDF

  14. 28 June 2018

    NZX Obligations Review 2018

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2018.
    Tags
    Reports and Papers, Roles, Monitoring, Business, Market operator, News & Insights
    Type
    PDF

  15. 28 June 2018

    Annual review of NZX published

    NZX generally complied with its obligations during the review period. However, a lack of market experience in its market surveillance function meant NZX did not meet its obligation to have adequate arrangements to monitor the conduct of participants on, or in relation to its markets.
    Tags
    Media release, Roles, Business, Market operator, News & Insights
    Type
    Page