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1 February 2018

Designation of certain shares in investment companies as managed investment products information sheet

This information sheet explains the class notice which designates certain shares in investment companies as managed investment products, and the company which issues them as a managed investment scheme.
31 January 2018

AML/CFT Guide for small financial adviser businesses

This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).
31 January 2018

Exemption Notice - The Bank of New York Mellon 2018

Financial Markets Conduct Exemption Notice 2018 - The Bank of New York Mellon.
31 December 2017

31 December 2017 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 December 2017
27 December 2017

Identity Verification Code of Practice Explanatory Note

The Amended Identity Verification Code of Practice 2013 (the code) clarified requirements for electronic identity verification following the implementation of the Electronic Identity Verification Act 2012 and the Identity Information Confirmation Act 2012. It replaced the previous Identity Verification Code of Practice 2011.
12 December 2017

Open letter to managers of collective investment schemes

Open letter to managers of collective investment schemes ahead of the anti-Money laundering and Countering Financing Terrorism Act 2009.
12 December 2017

Class legislative notice summary 2017

This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted in effect as at 1 December 2017.
12 December 2017

CPA accredited body report 2017

This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2016 to 30 June 2017.
12 December 2017

NZICA accredited body report 2017

This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2016 to 30 June 2017.
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
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.