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1. 26 June 2015

   DIMS providers Calculation of returns for information sheet

   This information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).

2. 23 June 2015

   Ease of doing business Stakeholder research 2015

   The FMA’s “Ease of doing business survey” is a piece of research from a sample of our regulated populations and the stakeholders we deal with. This research helps us to better understand the impact that our work has on market participants and stakeholders. It informs the way we work and our focus on continuous improvement in our effectiveness and efficiency.

3. 18 June 2015

   Statement of Intent 2015

   This Statement of Intent further develops our strategic direction for the coming four years from July 2015 to June 2019 and has been prepared in accordance with Part 4 of the Crown Entities Act 2004. It should be read in conjunction with the Statement of Performance Expectations for each year. This is the 2015 report.

4. 15 June 2015

   Milford Asset Management Limited - Settlement Agreement

   Settlement Agreement with Milford Asset Management Limited, 15 June 2015.

5. 12 June 2015

   Financial Markets Conduct Act - NZX Rules Approval of Market Rules Notice 2015

   This notice come into force on 15 June 2015. The notice allows for NZX to replace sets of market rules with the corresponding rules dated 16 April 2015.

6. 9 June 2015

   Statement of Intent 2015

   This Statement of Intent further develops our strategic direction for the coming four years from July 2015 to June 2019 and has been prepared in accordance with Part 4 of the Crown Entities Act 2004. It should be read in conjunction with the Statement of Performance Expectations for each year. This report was published in 2015.

7. 1 June 2015

   Investor Confidence Research 2015

   The Investor confidence Research report 2015 measures attitudes towards and investment in New Zealand’s financial markets. The research was carried out online using Colmar Brunton’s omnibus.

8. 30 May 2015

   CMB Information Sheet for May 2015

   Offers of contributory mortgages made by contributory mortgage brokers who are not lawyers are regulated under the Securities Act (Contributory Mortgage) Regulations 1988 (Regulations). The Regulations exempt brokers from certain disclosure and governance requirements, under the Securities Act 1978.

9. 30 May 2015

   New requirements for lawyers offering contributory mortgages

   From 1 December 2016 all new offers of contributory mortgages must be made under the FMC Act.

10. 28 May 2015

    Commerce Commission v ANZ Bank New Zealand Ltd - Judgment

    Judgment in the High Court in the case between Commerce Commission and ANZ Bank New Zealand Limited, 28 May 2015.

11. 25 May 2015

    Pacific Edge Limited - Settlement Agreement

    Settlement agreement with Pacific Edge Limited (PEB), May 2015.

12. 24 May 2015

    FMA certification process for the registration of new KiwiSaver superannuation and workplace savings schemes information sheet

    This information sheet outlines the process for getting a certificate from the FMA to apply for registration of a new KiwiSaver, superannuation or workplace savings scheme.

13. 2 May 2015

    Consultation: Investor acknowledgement and warning for the $750,000 minimum investment wholesale investor exclusion

    This consultation is for: Wholesale investors, banks, brokers, issuers, legal advisers. It aims to test whether an exemption to the investor acknowledgement and warning requirements of the $750,000 minimum investment exclusion is needed in particular circumstances.

14. 28 April 2015

    Hanover - Settlement Agreement

    Settlement Agreement with the Directors' of Hanover Finance Ltd (HFL), United Finance Ltd (UFL) and Hanover Capital Limited (HCL), 28 April 2015.

15. 23 April 2015

    DIMS limit breaks under the FMC Act

    This information sheet outlines the obligations of Discretionary Investment Management Services (DIMS) providers under the Financial Markets Conduct Act 2013 (FMC Act) relating to investment authority limits and reporting breaches of those limits.