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30 July 2016

Expense disclosure CE January June 2016

CE expenses disclosure for the period 1 January 2016 - 30 June 2016
30 July 2016

Expense disclosure CE Travel January June 2016

CE expenses disclosure for the period 1 January 2016 - 30 June 2016
21 July 2016

Auditor General - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Auditor General
8 July 2016

Exemption notice - Financial Markets Conduct Foodstuffs Provident Fund

Financial Markets Conduct Exemption Notice 2016: Foodstuffs Provident Fund.
1 July 2016

Staff and board members gifts and hospitality - OIA response

OIA response, dated 6 July 2018, to a request regarding FMA’s policy surrounding staff and board members accepting gifts and/or hospitality and, a list of any gifts and/or hospitality accepted staff and board members since 1 July 2016.
1 July 2016

AML CFT How to complete your annual CFT user guide 1

This user guide is designed to help financial advisers to complete their annual AML/CFT report (annual report) quickly and easily. It clarifies the questions in the report template that may be open to interpretation and identifies questions that are unlikely to be relevant to small financial adviser businesses. It does not include the questions that don’t need explanation. This guide is current for 2016.
1 July 2016

Exemption Notice - Financial Markets Conduct Beca Group Superannuation Plan

Financial Markets Conduct (Beca Group Superannuation Plan) Exemption Notice 2016
30 June 2016

Justin William Prain and Mark Joseph Schroeder - Appeal Judgment

Judgment in the Court of Appeal in the case against Justin William Prain and Mark Joseph Schroeder 16 June 2016.
30 June 2016

aml cft annual report user guide 2016

This user guide can be used as a reference for AML CFT reporting entities when completing their annual report
30 June 2016

30 June 2016 Disclose Register Kiwisaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 30 June 2016
29 June 2016

UDC Finance Limited Waiver Notice - consideration complete / reduction of waiting period

UDC Finance Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 consideration complete / reduction of waiting period. June 2016.
29 June 2016

NZX Obligations Review 2016

Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2016.
13 June 2016

Class exemptions- recognising existing regulation of overseas issuers

FMA approves class exemptions that recognise existing regulation of overseas issuers
10 June 2016

Exemption notice - Financial Markets Conduct Investore Property Limited

Financial Markets Conduct (Ivestore Property Limited) Exemption Notice 2016
8 June 2016

Financial Markets Conduct - Tonga Development Bank Ave Paanga Pau Vouchers Designation Notice 2016

This notice declares that the Ave Pa'anga Pau Vouchers issued by Tonga Development Bank are not a financial product for the purposes of the FMC Act 2013.