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  3. 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.

  4. 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).

  8. 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.

  10. 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.

  11. 28 June 2017

    Statement of Intent 2017

    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 2017 report.

  14. 21 June 2017

    Consultation paper Robo advice exemption

    This consultation is for financial advisers, financial product providers, consumers and other interested parties. It seeks feedback on the exemption proposal to facilitate the provision of personalised robo-advice.