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12 March 2018

Consultation: Content of regulatory returns for licensed DI MIS managers and DIMS providers

This consultation is for licensed derivative issuers, managers of managed investment schemes, providers of discretionary investment management services, and other interested parties. It aims to gain feedback on our proposals for regulatory returns for licensed DI, MIS managers and DIMS providers.
12 March 2018

MIS regulatory returns sample tables

This spreadsheet should be considered an example of the regulatory return information required by MIS managers.
12 March 2018

Annual Regulatory returns for licensed Derivative Issuers questions

Annual regulatory return information to be provided by licensed Discretionary Investment Management Services (DIMS) providers to the FMA
12 March 2018

Annual Regulatory returns for DIMS providers questions

Annual regulatory return information to be provided by licensed Discretionary Investment Management Services (DIMS) providers to the FMA.
12 March 2018

FMA’s media release on 12 March 2018 - OIA response

OIA response to FMA’s media release on 12 March 2018 regarding the five businesses being warned for Anti-Money Laundering/Countering Financing of Terrorism (AML/CFT) failures. Response dated 5 April 2018.
9 March 2018

Exemption notice - Arria NLG Limited Scheme

Financial Markets Conduct (Arria NLG Limited Scheme) Exemption Notice 2018
28 February 2018

Corporate Governance Handbook 2018

The Corporate Governance Handbook 2018 was produced by the FMA as a practical guide for directors and executives to apply corporate governance principles.
27 February 2018

Corporate governance handbook consultation submissions report

This document summarises the key themes from the submissions to our consultation for the updated Corporate Governance Handbook, and our response to them. It also includes the individual submissions.
22 February 2018

Consultation for exemption to enable personalised digital advice submissions report

A summary of submissions on the second consultation on the exemption to enable personalised digital advice.
22 February 2018

RIS Exemption to enable personalised digital advice 2018

This regulatory impact statement (RIS) is for financial adviser entities, advisers, and other interested parties. It discusses an exemption to enable the provision of personalised digital advice services.
19 February 2018

Conduct Outcomes Report 2017

The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017. It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018.
13 February 2018

Fonterra Shareholders - Approval of Rule Change Notice 2018

The notice approves changes to the FSM Rules that were provided to the FMA by NZX for approval on 22 Dec 2017. These changes will be incorporated into the FSM Rules at a future date to be determined by the NZX.
9 February 2018

Expense disclosure CE Other July to December 2017

CE expenses disclosure for the period 1 July 2017 - 31 December 2017
9 February 2018

Exemption notice - Australian Qualified Financial Advisers

Financial Advisers (Australian Qualified Advisers) Exemption Notice 2018.
9 February 2018

Exemption Notice - trueEX LLC

Financial Markets Conduct Exemption Notice 2018 - trueEX LLC.