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1. 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).

2. 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.

3. 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.

4. 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.

5. 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.

6. 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.

7. 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.

8. 28 September 2017

   Short duration derivatives consultation submissions report

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

9. 27 September 2017

   Substantial Product Holders guidance consultation response to submissions

   Response to submissions on proposed guidance on substantial product holder disclosures.

10. 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.

11. 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.

12. 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.

13. 18 July 2017

    Regulatory impact statement – Methodology for calculating fees in KiwiSaver annual statements 2017

    Regulatory impact statement – Methodology for calculating fees in KiwiSaver annual statements. This document is for KiwiSaver providers.

14. 3 July 2017

    AML/CFT Sector Risk Assessment 2017

    Our Sector Risk Assessment (SRA) helps us and the REs we supervise understand the risks of money-laundering (ML) and terrorism financing (TF) in each sector.

15. 1 July 2017

    Offering financial products in New Zealand and Australia under mutual recognition - 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 (ASIC) and the New Zealand Financial Markets Authority (FMA).