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  1. 5 November 2019

    Declaration - Supervisors licence TRU2.1

    This is a supporting information checklist and statutory declaration for licensing under section 16 of the Financial Markets Supervisors Act 201l.

  2. 1 November 2019

    A guide to understanding auditing and assurance 2019

    A guide to understanding auditing and assurance: FMC Reporting Entities in New Zealand explains in plain language the value and purpose of auditing and assurance. This will assist shareholders, investors and other readers of financial statements who are not experts in auditing and assurance to better understand the messages from the entity’s auditor and make use of this information in their decision making

  3. 31 October 2019

    Supervisor Licensing guidance

    This guidance note is for anyone applying: for a licence to be a supervisor, or to replace an expiring supervisor licence, or to vary an existing supervisor licence.

  4. 25 October 2019

    Acting on behalf of a customer fact sheet

    A reporting entity is required to verify the identity of persons acting on behalf of a customer and is also required to verify that they have appropriate authority to act on behalf of the customer.

  5. 25 October 2019

    AML/CFT - interpretation of a trust as a customer

    The following is a response made by the AML/CFT supervisors to a query questioning whether a trust can be a customer for the Act’s purposes. This clarification is supplemental to the Trusts Fact Sheet:

  6. 10 October 2019

    Circle Markets Limited - Formal Warning

    Notification of a formal warning from the FMA to Circle Markets Ltd under section 80 of the Anti-money laundering and countering finance of terrorism Act 2009. 10 October 2019.

  7. 4 October 2019

    KiwiSaver Annual Report 2019

    The FMA publishes a report every year based on all providers’ statutory data for the year to the end of March. It summarises our activities as a regulator relating to KiwiSaver during the reporting period.

  8. 1 October 2019

    AMLCFT Audit Guideline

    This guidance is to help reporting entities understand the AML/CFT audit (“audit”) requirements in terms of the AntiMoney Laundering and Countering Financing of Terrorism Act 2009 and undertake an effective and credible audit of their risk assessment and AML/CFT programme.

  9. 26 September 2019

    Consultation green bonds and other responsible investment products

    This consultation seeks issuer and investor input on green bonds and other responsible investment products that expressly take into account environmental, social, and/or governance considerations. Submissions will initially be used to help us develop guidance for issuers.

  10. 11 September 2019

    Director Essentials in Te Reo Maori - IoD

    Ka tautoko ngā poari whakahaere rangatōpū pai i te angitu o ngā kaihaumi. Hei hāpai kia tipu ai, kia momoho ai ngā kamupene, me mōhio ngā whakataka ki te whakahaere mōrea me te whai i ngā huarahi mōrea i runga i te wairua takohanga. Ehara te noho hei whakataka i te ingoa noa iho. He matawhānui ngā mahi me ngā herenga matatika, ture, arumoni hoki o te tūnga whakataka. This guide was issued by the FMA and Institute of Directors.

  11. 9 September 2019

    Growing New Zealands Capital Markets 2029

    This report provides an overview of the process and key recommendations which we believe will have a higher impact on the New Zealand capital markets ecosystem in the coming decade

  14. 15 August 2019

    Consultation New financial advice regime exemptions

    This consultation is for any person giving regulated financial advice or providing client money or property services, and their advisers and interested parties. It seeks feedback on proposed exemption support for the new financial advice regime.