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1. 13 March 2018

   Self select retirement schemes information for scheme managers

   This information sheet explains how these schemes are regulated under the Financial Markets Conduct Act 2013 (FMC Act) and what exemptions and waivers may be available.

2. 13 March 2018

   Self-select retirement schemes – information for scheme managers

3. 12 March 2018

   Consultation: Content of regulatory returns for licensed DI MIS managers and DIMS providers

   This consultation is for licensed derivative issuers, managers of managed investment schemes, providers of discretionary investment management services, and other interested parties. It aims to gain feedback on our proposals for regulatory returns for licensed DI, MIS managers and DIMS providers.

4. 12 March 2018

   MIS regulatory returns sample tables

   This spreadsheet should be considered an example of the regulatory return information required by MIS managers.

5. 12 March 2018

   Annual Regulatory returns for licensed Derivative Issuers questions

   Annual regulatory return information to be provided by licensed Discretionary Investment Management Services (DIMS) providers to the FMA

6. 12 March 2018

   Annual Regulatory returns for DIMS providers questions

   Annual regulatory return information to be provided by licensed Discretionary Investment Management Services (DIMS) providers to the FMA.

7. 9 March 2018

   Exemption notice - Arria NLG Limited Scheme

   Financial Markets Conduct (Arria NLG Limited Scheme) Exemption Notice 2018

8. 27 February 2018

   Corporate governance handbook consultation submissions report

   This document summarises the key themes from the submissions to our consultation for the updated Corporate Governance Handbook, and our response to them. It also includes the individual submissions.

9. 22 February 2018

   Consultation for exemption to enable personalised digital advice submissions report

   A summary of submissions on the second consultation on the exemption to enable personalised digital advice.

10. 22 February 2018

    RIS Exemption to enable personalised digital advice 2018

    This regulatory impact statement (RIS) is for financial adviser entities, advisers, and other interested parties. It discusses an exemption to enable the provision of personalised digital advice services.

11. 19 February 2018

    Conduct Outcomes Report 2017

    The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017. It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018.

12. 13 February 2018

    Fonterra Shareholders - Approval of Rule Change Notice 2018

    The notice approves changes to the FSM Rules that were provided to the FMA by NZX for approval on 22 Dec 2017. These changes will be incorporated into the FSM Rules at a future date to be determined by the NZX.

13. 9 February 2018

    Exemption notice - Australian Qualified Financial Advisers

    Financial Advisers (Australian Qualified Advisers) Exemption Notice 2018.

14. 9 February 2018

    Exemption Notice - trueEX LLC

    Financial Markets Conduct Exemption Notice 2018 - trueEX LLC.

15. 7 February 2018

    Designation Amendment Notice MIPs

    Financial Markets Conduct (Shares in Investment Companies) Designation Amendment Notice 2018