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3 April 2017

Consultation paper Short duration derivatives

This consultation is for: interested parties including offerors, investors and legal advisers. It aims to: gain feedback on the impact of a class designation for short duration derivatives.
31 March 2017

31 March 2017 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 March 2017
28 March 2017

European Securities and Markets Authority (ESMA) - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the European Securities and Markets Authority (ESMA)
16 March 2017

Exemption notice - Financial Markets Conduct Deutsche Bank AG

Financial Markets Conduct (Deutsche Bank AG) Exemption Notice 2017
10 March 2017

Exemption Notice - Financial Markets Conduct JP Morgan Chase Bank N.A.

Financial Markets Conduct (JP Morgan Chase Bank N.A.) Exemption Notice 2017
9 March 2017

Submissions Report KiwiSaver guidance note

This submissions report is in response to submissions on the draft KiwiSaver advice guidance note consultation, 2017.
9 March 2017

KiwiSaver sales and advice guidance

This guidance note is for advisers and financial firms advising on KiwiSaver products.
6 March 2017

Consultation paper Disclosing non GAAP financial information

This guidance note is primarily for FMC reporting entities and their directors. It aims to outline the FMA's expectations on the use of non-GAAP financial information.
3 March 2017

Mark Warminger - Judgment

Mark Warminger Judgment in the HIgh Court issued in the case brought about by the FMA March 2017.
20 February 2017

Conduct Outcomes Report 2016

This report highlights the key issues and actions from our enforcement, supervision and preventative activities in the period 1 July 2015 to 30 June 2016.
16 February 2017

2017 Letter of Expectations

The letter of expectation 2017 is delivered by the Minister to the FMA to formalise expectation of the FMA as a Crown entity.
15 February 2017

New Zealand Law Society - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the New Zealand Law Society
2 February 2017

Submissions Report Conduct Guide consultation

This is a summary of the submissions received by the FMA in response to the consultation of draft guide to the FMA's view of conduct, 2017.
2 February 2017

FMAs view of conduct guidance

This guidance note is for: directors and executives of licensed financial services providers. The guide was published in 2017.
30 January 2017

Expense disclosure CE Gifts July December 2016

CE gifts and hospitality disclosure for the period 1 June 2016 - 31 December 2016