Search results

Keywords

Date Published

Sort by:

Found 614 results. Displaying page 17 of 41

28 June 2022

NZX Obligations Review 2022

Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2021.
20 June 2022

Auditor Regulation and Oversight Plan 2022 2025

The plan sets out how the FMA aims to improve the audit quality of Financial Markets Conduct reporting entities.
25 May 2022

KiwiSaver annual statements methodology notice 2022

The methodology notice will help KiwiSaver providers attribute fees charged at the fund level (including underlying fund charges) to each investor.
18 May 2022

Value for Money Industry Report

FMA and Supervisor report for Managed Investment Scheme Managers and KiwiSaver Managers that covers FMA and Supervisor findings from the Value for Money implementation pilot.
9 May 2022

NZX Listing Rule change 2022

NZX listing rule change 2022 for anyone who is listing on the stock exchange.
31 March 2022

31 March 2022 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for period ending 31 March 2022
31 March 2022

31 March 2022 Disclose Register MIS fund updates

Disclose Register MIS fund updates for 31 March 2022
18 March 2022

Impact of Russia Sanctions on AML/CFT reporting entities

An update from the three AML/CFT Act supervisors to reporting entities on what is required of them under the Russia Sanctions Act 2022.
28 January 2022

Application Form - Supervisors Licence TRU1.1

Application Form for Financial Markets Supervisors Licence (For a New Licence or to Replace an Expiring Licence) TRU1.1
19 January 2022

KiwiSaver Switching Behaviour KiwiSaver Member Stories

The FMA commissioned PwC’s behavioural science team to examine KiwiSaver switching behaviour during the height of COVID-19 market volatility, with data provided by 11 KiwiSaver providers.
1 January 2022

NZX Participant Rules 2017

NZX participant rules 2017
26 December 2021

31 December 2021 Disclose Register MIS fund updates

Disclose MIS Manager fund updates for 31 December 2021
24 December 2021

31 December 2021 Disclose Register KiwiSaver fund update
16 December 2021

Customer care managing conflicts of interest self assessment tool
10 December 2021

Outsourcing CDD to a third party provider Reminder to FMA and DIA reporting entities

While third-party providers can provide a useful service, both the DIA and FMA are aware of an increasing number of reporting entities taking a view that the third-party provider “just takes care of it all” and that all CDD requirements are then met. This is not the case. Read more about outsourcing your CDD requirments.