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1. 1 September 2014

   Governance under Part 4 of the FMC Act guidance

   This guidance note is for Issuers of debt securities, managers of investment schemes and their supervisors. It gives guidance on the expectations of the FMA on your approach to governance and accountability responsibilities that apply to Part 4 of the FMC Act 2015.

2. 30 August 2014

   Creation of new unit trusts during transition period information sheet 2014

   This information sheet responds to queries by market participants about the ability to create new unit trust schemes under the Unit Trusts Act 1960 between 1 December 2014 and 30 November 2015. FMA’s opinion is that persons creating unit trusts between 1 December 2014 and 1 December 2015 can choose between regimes.

3. 30 August 2014

   Guidance - One off Issuers

   This information sheet clarifies when one-off or occasional issuers must register on the Financial Service Providers Register (FSPR) under the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (in addition to any disclosure obligations that they may have under the Financial Markets Conduct Act 2013).

4. 14 August 2014

   Money Week Survey Report 2014

   2014 research report about New Zealanders' attitudes to investment.

5. 1 August 2014

   Fair dealing provisions transitional arrangements for advertising information sheet

   The fair dealing provisions relating to “financial products” and “financial services” make it an offence to engage in misleading or deceptive conduct in relation to financial products or to make false, misleading or unsubstantiated representations about financial products.

6. 30 July 2014

   Expense disclosure CE gifts 2014 jan feb

   CE gift and hospitality disclosure for the period 1 January 2014 - 30 June 2014

7. 30 July 2014

   Expense disclosure CE gifts 2014 jan jun

   CE gifts and benefits disclosure for the period 1 January 2014 - 30 June 2014

8. 30 July 2014

   Expense disclosure CE expenses travel 2014 jan jun

   CE expenses disclosure for the period 1 January 2014 - 30 June 2014

9. 30 July 2014

   Expense disclosure CE expenses other 2014 jan jun

   CE expenses disclosure for the period 1 January 2014 - 30 June 2014

10. 30 July 2014

    Expense disclosure CE hospitality 2014 jan jun

    CE expenses disclosure for the period 1 January 2014 - 30 June 2014

11. 17 July 2014

    Declaration - Supervisors licence TRU2.1 variation

    SUPPORTING INFORMATION CHECKLIST AND STATUTORY DECLARATION INFORMATION FOR LICENSING UNDER SECTION 16 OF THE FINANCIAL MARKETS SUPERVISORS ACT 2011 (The Act)

12. 2 July 2014

    Exemption Notice - Securities Act Vista Group International Limited

    Securities Act (Vista Group International Limited) Exemption Notice 2014

13. 1 July 2014

    Financial Dispute Resolution Scheme - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and Fairway Resolution Limited trading as Financial Dispute Resolution Scheme

14. 1 July 2014

    Serious Fraud Office (SFO) - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Serious Fraud Office

15. 30 June 2014

    Going Concern disclosures in financial statements

    The purpose of this 2014 report is to inform market participants of the findings of our review and highlight areas of concern.