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29 June 2021

ICE Futures US general obligations review 2021

The US Commodity Futures Trading Commission (CFTC) is IFUS’s primary regulator. Our review therefore focuses on whether the CFTC was satisfied with IFUS’s compliance during the review period. 2019-2020 ICE Futures US general obligations review.
28 June 2021

NZX Market Operator Obligations Review 2021

Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2020
24 June 2021

Statement of Performance Expectations 2021 to 2022

Our Statement of Performance Expectations outlines our short-term (annual) performance targets. It should be read in conjunction with our Statement of Intent. This is the 2021 to 2022 report.
24 June 2021

How to operate

Getting prepared for licensing covers: who will need a licence under the new financial advice regime; the different ways to operate under the new regime, and provides an easy-to-navigate tool that will help guide you through the options if you're unsure how you wish to operate. See more.
24 June 2021

Investor capability and consumer insights

Capable, confident and well-informed investors are an essential part of healthy financial markets. Part of the FMA's role is to help investors build this capability and to seek insights from both investors and consumers of other financial services. This page explains the objective of the FMA in building customer capability and how we approach our work in building a safe and transparent financial market.
22 June 2021

MIS liquidity risk management review

This report contains recommendations on liquidity stress testing frameworks, processes and procedures, following the August 2020 self-assessment survey completed by regulated entities for a two-year period ending 31 December 2019. It will be useful for directors, senior management and investment personnel of managed investment schemes.
21 June 2021

Financial Markets Conduct (Catalist Public Market) Approval of Market Rules Notice 2021

Financial Markets Conduct (Catalist Public Market) Approval of Market Rules Notice 2021
21 June 2021

New Zealand Financial Product Market Licence Catalist Public Market 2021

New Zealand Financial Product Market Licence Catalist Public Market 2021
16 June 2021

Financial advice lender exclusion updated 2021

This information sheet explains the circumstances that may exclude a lender from some Financial Markets Conduct Act 2013 (FMC Act) obligations related to financial advice. The exclusion applies only in relation to consumer credit contracts and certain credit-related insurance contracts. Updated documented published 16/06/21
16 June 2021

KiwiSaver switching behaviour 150621

The aim of this research was to identify how any switches and other transactions took place between Febuary and April 2020 at the height of the market volatility associated with COVID-19
16 June 2021

Licensing interposed persons and engaged entity arrangements information sheet

This information sheet sets out FMA’s approach to licensing financial advice arrangements and provides guidance on circumstances where an engaged entity or interposed person won’t need to be licensed as a FAP.
14 June 2021

Auditor Regulation and Oversight Plan 2021-2024

This report summarises our plan relating to auditor oversight, as part of our obligation under section 52 of the Auditor Regulation Act 2011. It includes small changes to our previous plan, but overall our focus areas remain unchanged.
14 June 2021

Regulatory Impact Statement - Exemptions for Catalist Markets listed issuers for same class offers and small offers

This document is for issuers listed on Catalist Markets, their advisers, and other interested parties. It discusses exemptions to enable Catalist listed issuers to make ‘same class’ offers and small offers of $2 million or less through the market.
8 June 2021

Exemption notice - Financial Markets Conduct Denarau Villas

Financial Markets Conduct (Denarau Villas) Exemption Notice 2021
3 June 2021

Statement of Intent 2014

Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2014 report.