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1. 11 July 2013

   consultation paper practical implications of reporting entities transacting with other reporting entities and the factsheet on managing intermediaries

   In this paper FMA seeks submissions on the practical implications of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘AML/CFT Act’) in situations where reporting entities are transacting with other reporting entities.

2. 29 June 2013

   NZX Obligations Review 2013

   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 2013.

3. 1 June 2013

   Securities trustees and statutory supervisors monitoring guidance

   This guidance note is for licensed securities trustees and statutory supervisors. It sets out the Financial Market Authority’s (FMA) expectations of how they will carry out their monitoring functions effectively.

4. 1 June 2013

   AML/CFT annual monitoring report 2013

   This document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).

5. 14 May 2013

   Fonterra Shareholders' Market Rules - Approval of market rules notice 2013

   The FSM Rules dated 14 May 2013 introduce the Diversity Rule. The Diversity Rule incorporates specific reporting requirements for Fonterra Co-operative Group Limited in relation to gender diversity and diversity policy.

6. 18 March 2013

   2013 Annual letter of expectations

   Annual letter of expectation 2013 written by the Minister to the FMA.

7. 15 February 2013

   consultation paper financial advisers australian licensee notice

   The Financial Markets Authority (FMA, or we) are reviewing the Financial Advisers (Australian Licensees) Exemption Notice 2011 (Financial Advisers (Australian Licensees) notice) which expires on 30 June 2013. FMA is keen to hear the views of Australian financial service licence holders who are relying on the Financial Advisers (Australian Licensees) notice and selected stakeholders to determine whether or not to renew the exemption.

8. 30 January 2013

   Expense disclosure CE 2012 jul dec

   CE travel expense disclosure for the period 1 July 2012 - 31 December 2012

9. 30 January 2013

   Expense disclosure CE 2012 july december

   CE expenses disclosure for the period 1 July 2012 - 31 December 2012

10. 30 January 2013

    Expense disclosure CE 2012 jul dec

    CE gifts and hospitality disclosure for the period 1 July 2012 - 31 December 2012

11. 30 January 2013

    Expense disclosure CE hospitality 2012 jul dec

    CE expenses disclosure for the period 1 July 2012 - 31 December 2012

12. 11 January 2013

    Identity code of practice - OIA response

    Identity code of practice OIA response, 11 January 2013

13. 18 December 2012

    Forsyth Barr - Settlement Agreement

    Settlement Agreement with Credit Agricole Corporate and Investment Bank; Credit Sail Limited; Calyon Hong Kong Limited; Forsyth Barr Limited and Forsyth Barr Group Limited, 12 December 2012.

14. 14 December 2012

    Exemption Notice 2012- Securities Act Betashares Capital Limited

    Securities Act Betashares Capital Limited Exemption Notice 2012

15. 13 December 2012

    Commissione Nazionale per le Societa e la Borsa (Italy) - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Commissione Nazionale per le Societa e la Borsa (Italy).