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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.
28 September 2017

Exemption Amendment Notice - Financial Markets Conduct Bonus Bonds

Financial Markets Conduct Notice Exemption Amendment Notice 2017: Bonus Bonds.
27 September 2017

Substantial Product Holders guidance consultation response to submissions

Response to submissions on proposed guidance on substantial product holder disclosures.
27 September 2017

Substantial product holder disclosures guidance

This guidance is for anyone who has a substantial holding in a listed issuer; Fund management firms and their employees. It aims to assist substantial product holders in understanding their obligations and help to promote consistency in disclosures.
1 September 2017

Disclosing non gaap financial information guidance

This guidance replaces our 2012 Guidance note: Disclosing non-GAAP financial information to reflect the requirements of the Financial Markets Conduct Act 2013 (FMC Act) and our findings from the review of non-GAAP financial information since 2012.
10 August 2017

Financial Markets Conduct Act - NZMDT Rules Approval of Market Rules Notice 2017

FMC Act New Zealand Disciplinary tribunal rules notice of change 2017.
4 August 2017

Consultation Paper Market Index

This consultation is for MIS managers, advisers, supervisors, and investors. It seeks feedback on a proposed exemption from the market index requirement.
28 July 2017

Financial Markets Conduct (KiwiSaver Confirmation Information) Methodology Notice 2017

This notice is the Financial Markets Conduct (KiwiSaver Confirmation Information) Methodology Notice 2017.
25 July 2017

Offering financial products in New Zealand and Australia under mutual recognition (MRSO) regulatory guide

This is a guide for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries. It explains what issuers have to do under the trans-Tasman mutual recognition scheme for offers of financial products. This is a joint guide published by the Australian Securities and Investments Commission.