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28 July 2017

Expense disclosure CE Gifts January June 2017

CE expenses disclosure for the period 1 January 2017 - 30 June 2017
28 July 2017

Expense disclosure CE Travel January June 2017

CE expenses disclosure for the period 1 January 2017 - 30 June 2017
28 July 2017

Financial Markets Conduct (KiwiSaver Confirmation Information) Methodology Notice 2017

This notice is the Financial Markets Conduct (KiwiSaver Confirmation Information) Methodology Notice 2017.
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.
19 July 2017

KiwiSaver Confirmation Information Methodology Notice 2017

Financial markets Conduct Methodology Notice 2017: KiwiSaver Confirmation Information
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.
13 July 2017

Exemption notice - Financial Markets Conduct Goodman Group 2017

Financial Markets Conduct (Goodman Group) Exemption Notice 2017
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.
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).
30 June 2017

30 June 2017 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 30 June 2017
30 June 2017

Exemption notice - Financial Markets Conduct Cooperatieve Rabobank U.A.

Financial Markets Conduct (Cooperatieve Rabobank U.A.) Exemption Notice 2017
30 June 2017

Mark Warminger -Penalty Judgment

High Court Penalty Judgment in the case against Mark Warminger, 29 June 2017.
29 June 2017

NZX Obligations Report 2017

This report outlines our annual review of how well NZX is meeting its statutory obligations, and covers the 2016 calendar year.
28 June 2017

Exemption Notice - Financial Markets Conduct Heinz Wattie Limited Pension Plan

Financial Markets Conduct Act 2013 exemption notice issued to Heinz Wattie Limited re Pension Plan 2017.
28 June 2017

Statement of Performance Expectation 2017

The Statement of Performance Expectations (SPE) is one of two documents that set out how we measure our future performance and report on the progress of that performance against our performance targets. This is our 2017 report.