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16 July 2018

Exemption from the market index requirement guidance

This guidance note aims to clarify what we expect of MIS managers in relation to the market index requirement for quarterly fund updates.
9 July 2018

Consultation paper on legislative notices and unnecessary compliance cost

This consultation paper is for participants who rely on our legislative notices; legal advisers; and other interested parties. It seeks feedback on whether any notice granted by us insufficiently addresses, or inadvertently creates, unnecessary compliance costs.
3 July 2018

Class legislative notice summary 2018

This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 2 July 2018. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.
3 July 2018

Disclosure of significant accounting estimates

This information sheet explains our expectations on disclosure of significant accounting estimates. It is part of our work on improving the overall quality of information being disclosed in financial statements.
2 July 2018

QFE insurance providers’ replacement business practices

This thematic review published in July 2018 focuses on QFE insurance providers’ replacement business practices and assesses how their policies and procedures are designed to ensure consumer protection at the point of policy replacement.
30 June 2018

30 June 2018 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 30 June 2018
30 June 2018

30 June 2018 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 30 June 2018
28 June 2018

NZX Obligations Review 2018

Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2018.
27 June 2018

Improving financial statements monitoring report

This monitoring report summarises the findings from our thematic review to determine the extent of improvements in the presentation of financial statements in a clear, concise and effective way, and sets out some suggestions for additional improvement.
25 June 2018

Consultation paper Proposed exemption from requirement to name assets

This consultation is for MIS managers, advisers, supervisors, investors and seeks feedback on a proposed exemption from the requirement to name assets.
14 June 2018

Exemption Notice - TIL Logistics Group Limited

Financial Markets Conduct Exemption Notice 2018 - TIL Logistics Group Limited.
13 June 2018

Statement of Performance Expectation 2018

Our Statement of Performance Expectations2018 outlines our short-term (annual) performance targets. It should be read in conjunction with our Statement of Intent.
11 June 2018

Key findings from the recent re-licensing of supervisors

During 2016 the International Monetary Fund (IMF) undertook a review of the New Zealand financial sector. The Financial Stability Assessment Programme report recommended that the FMA ”continue to engage with Supervisors to ensure that they take a consistent approach to their supervision of Managed Investment Scheme (MIS) managers”
11 June 2018

Publishing default information for peer to peer lending services 2018

This guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information. It sets out what ‘default’ means, when licensees must comply with the standard and guidelines on how to publish fair, clear and transparent information.
7 June 2018

Auditor regulation and oversight plan 2018-2021

FMA has an obligation to publish an auditor regulation and oversight plan by 30 June each year, for a three year period, setting out our intentions for the regulation and oversight of auditors under the Act. This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. It may also be of interest to issuers, investors and their advisers.