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1. 9 July 2021

   AML/CFT - New regulation for nominee directors and nominee general partners

   Reporting entities will be expected to comply with the new regulation as soon as possible from 9 July 2021. However, in recognition that reporting entities will need to amend their processes and procedures (and potentially systems), a transitional compliance period will apply until 29 April 2022.

2. 6 July 2021

   Investor Confidence Report 2021

   This annual report is intended to measure the level of confidence the New Zealand public have in the New Zealand financial markets along with perceptions and awareness of the FMA. The research is conducted by an exernal provider. This is the Investor confidence survey results published in 2021.

3. 2 July 2021

   Administrators of financial benchmarks

   Financial benchmarks are prices, rates, figures or indexes that are referenced in financial products or contracts. On this page, you will find out more about licensing of administrators of financial benchmarks; compliance obligations; costs of licensing and exemptions available to administrators of financial benchmarks.

4. 1 July 2021

   AML/CFT Regulation Update 2021

   New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) system is intended to adapt as money laundering and terrorism financing risks evolve. Two regulations, that are a key part of the AML/CFT system, were due to expire. These are the AML/CFT (Exemptions) Regulations 2011 which were scheduled to expire on 30 June 2020, and the AML/CFT (Definitions) Regulations 2011 which partially expire on 27 July 2021.

5. 1 July 2021

   Administrators of financial benchmarks BMA.2 Application checklist and declaration determination

   Administrators of financial benchmarks BMA.2 Application checklist and declaration.

6. 1 July 2021

   Administrators of financial benchmarks BMA3 Fit and Proper declarations form

   Administrators of financial benchmarks BMA3 Fit and Proper declarations form.

7. 1 July 2021

   Administrators of financial benchmarks BMA.1 Application form

   Administrators of financial benchmarks BMA.1 Application form

8. 1 July 2021

   FAP Licensing Application Guide Class 1 questions

   FAP Licensing Application Guide Class 1 questions: This document contains the questions you will be asked when applying for a Class 1 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.

9. 1 July 2021

   Crowdfunding issuers

   This page covers specific obligations of crowdfunding issuers when offers are made of financial products

10. 30 June 2021

    30 June 2021 Disclose Register KiwiSaver fund updates

    This document is the Disclose Register for KiwiSaver fund updates for 30 June 2021

11. 30 June 2021

    30 June 2021 Disclose Register MIS fund updates

    This document is the Disclose Register for MIS fund updates for 30 June 2021

12. 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.

13. 30 June 2021

    Exemption Notice - Financial Markets Conduct (Foodstuffs Provident Fund)

    Financial Markets Conduct (Foodstuffs Provident Fund) Exemption Notice 2021

14. 30 June 2021

    Exemption notice - Financial Markets Conduct (FNZ Group) 2021

    Financial Markets Conduct (FNZ Group) Exemption Notice 2021

15. 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