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1 December 2017

AML/CFT interpreting ordinary course of business guideline

This guideline is designed to help clarify the meaning of the phrase “in the ordinary course of business”. The meaning of this phrase is important if your business conducts one (or more) of the activities listed under the definitions of financial institution”, “designated non-financial business or profession”, and “high-value dealer” in the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).
1 December 2017

AML/CFT Designated Business Group – Formation Guideline

Guideline to reporting entities on eligibility, formation, notification and withdrawal from a designated business group.
1 December 2017

Exemption notice - Financial Markets Conduct Fletcher Building Retirement Plan

Financial Markets Conduct (CFletcher Building Retirement Plan) Exemption Notice 2017
30 November 2017

Audit Quality Monitoring report 2017

Our quality reviews help improve audit quality standards and ensure audit opinions are reliable. These reviews also help us to achieve our strategic goal of ensuring that investors have access to resources that help them make better informed financial decisions. This report summarises our findings from the quality reviews we carried out between 1 July 2016 and 30 June 2017.
29 November 2017

Key audit matters - A stock take of the first year in New Zealand

The purpose of this publication is to provide a stock take of the New Zealand experience in the first year of adopting the revised auditor’s report, specifically focussing on the reporting of key audit matters (KAMs).
29 November 2017

Exemption Notice - Irish UCITS

Financial Markets Conduct Exemption Notice 2017: Irish UCITS.
15 November 2017

Consultation documents for exemption to enable personalised digital advice

This consultation is for financial adviser entities, their advisers, and other interested parties. It seeks feedback on the draft exemption notice and application documents.
14 November 2017

Consultation FMA Corporate Governance handbook

This consultation is for the directors, executives and advisers of non-listed and public-sector companies and other entities. We seek feedback about whether our revised handbook helps directors, executives and advisers to think about how to apply corporate governance principles.
17 October 2017

Consultation Personalised robo advice Submissions report

A summary of submissions on the proposed exemption to facilitate personalised robo-advice.
10 October 2017

Regulatory Impact Statement: Non-NZX Broker Client Money 2017

This document is for non-NZX brokers and their clients. It discusses an exemption granted to non-NZX brokers
10 October 2017

The Bank Bill Benchmark Rate and closing rates guidance note

This guidance clarifies the FMA’s expectations about the trading conduct and controls for firms participating in the trading that sets BKBM and closing rates in the New Zealand market. October 2017.
10 October 2017

Bank Bill Benchmark Rate and closing rates resource sheet

This resource sheet explains how BKBM and closing rates operate and are regulated in New Zealand. It is aimed at local bank staff involved in trading activity or oversight of trading activity.
3 October 2017

KiwiSaver Annual Report 2017

We are required to report each year on our main KiwiSaver activities. This report covers the period from 1 July 2016 to 30 June 2017, and contains a summary of the statistical returns required to be lodged by KiwiSaver schemes as at 31 March 2017.
30 September 2017

30 September 2017 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 30 September 2017
28 September 2017

Short duration derivatives consultation submissions report

A summary of submissions on our consultation paper about short duration derivatives.