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5 July 2021

CLSA Premium NZ Ltd - Judgment

High Court Judgment: Financial Markets Authority v CLSAP - 5 July 2021
2 July 2021

Administrators of financial benchmarks

Financial benchmarks are prices, rates, figures or indexes that are referenced in financial products or contracts. On this page, you will find out more about licensing of administrators of financial benchmarks; compliance obligations; costs of licensing and exemptions available to administrators of financial benchmarks.
1 July 2021

AML/CFT Regulation Update 2021

New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) system is intended to adapt as money laundering and terrorism financing risks evolve. Two regulations, that are a key part of the AML/CFT system, were due to expire. These are the AML/CFT (Exemptions) Regulations 2011 which were scheduled to expire on 30 June 2020, and the AML/CFT (Definitions) Regulations 2011 which partially expire on 27 July 2021.
1 July 2021

Administrators of financial benchmarks BMA.2 Application checklist and declaration determination

Administrators of financial benchmarks BMA.2 Application checklist and declaration.
1 July 2021

Administrators of financial benchmarks BMA3 Fit and Proper declarations form

Administrators of financial benchmarks BMA3 Fit and Proper declarations form.
1 July 2021

Administrators of financial benchmarks BMA.1 Application form

Administrators of financial benchmarks BMA.1 Application form
1 July 2021

FAP Licensing Application Guide Class 1 questions

FAP Licensing Application Guide Class 1 questions: This document contains the questions you will be asked when applying for a Class 1 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.
1 July 2021

Crowdfunding issuers

This page covers specific obligations of crowdfunding issuers when offers are made of financial products
1 July 2021

Peer-to-peer lending borrowers

This page covers specific obligations of peer-to-peer lending borrowers when offers of financial products are made.
30 June 2021

30 June 2021 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 30 June 2021
30 June 2021

30 June 2021 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 30 June 2021
30 June 2021

Filing of financial statements: review findings and guidance

This document provides a summary of the key findings and insights from our monitoring review of financial reporting filing obligations. It also provides guidance and sets our expectations for future reporting periods.
30 June 2021

Exemption Notice - Financial Markets Conduct (Foodstuffs Provident Fund)

Financial Markets Conduct (Foodstuffs Provident Fund) Exemption Notice 2021
30 June 2021

Exemption notice - Financial Markets Conduct (FNZ Group) 2021

Financial Markets Conduct (FNZ Group) Exemption Notice 2021
29 June 2021

ICE Futures Europe general obligations review 2021

The UK Financial Conduct Authority (FCA) is IFEU’s primary regulator. Our review therefore focuses on whether the FCA was satisfied with IFEU’s compliance during the review period. 2021 ICE Futures Europe general obligations review