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23 July 2019

Strategic Risk Outlook 2019

The Strategic Risk Outlook 2019 provides our medium-term view (three to five years) of the most significant risks to and opportunities for promoting fair, efficient and transparent financial markets.
23 July 2019

Expensive Trials - OIA response

OIA response, dated 23 July 2019, regarding the FMA’s five most expensive trials, what they involved and a summary of costs
19 July 2019

Syndicated Trusts - Stop Order

The Stop Order issued by the FMA The Stop Order prohibits STL from certain activity, including:distributing communications and advertisements about itself or the offer of financial products, accepting applications or money for financial products.
19 July 2019

Exemption notice - Silver Chef Limited Notice

Financial Markets Conduct (Silver Chef Limited) Exemption Notice 2019
19 July 2019

Financial Planning Limited and Impact Enterprises Limited - reasons for Judgment

High Court reasons for Judgment in the case against Financial Planning Limited and Impact Enterprises Limited, 19 July 2019.
17 July 2019

Financial Planning Limited and Impact Enterprises Limited - Judgment

Judgment in the High Court in the case against Financial Planning Limited and Impact Enterprises Limited, 17 July 2019.
15 July 2019

Exemption notice - Napier Port Holdings Limited

Financial Markets Conduct (Napier Port Holdings Limited) Exemption Notice 2019
15 July 2019

OIA Investigation into the ANZ rural growth fund

OIA response, dated 15 July 2019, regarding any information related to the Rural Growth Fund Scheme (Scheme), operated by the National Bank and later the ANZ National Bank
11 July 2019

Cyber resilience in FMA regulated financial services

This report 2019 summarises the findings of our thematic review of cyber-resilience in New Zealand financial services, and provides guidance for firms in areas where we have identified the need for improvement. It will be useful for our regulated sectors, to help ensure they comply with our expectations and best practice.
11 July 2019

KiwiSaver Fees Comparison Report 2019

The purpose of this report is to report our findings on comparing the KiwiSaver fees with fees for UK Contract Based superannuation schemes.
5 July 2019

Statement on the Kiwi Access Card

Part 1, Section 2 of the amended Identity Verification Code of Practice 2013 (IVCOP) currently refers to the older 18+ card as an example of secondary or supporting form of photographic identification, which is to be used in conjunction with a form of primary nonphotographic identification such as a birth certificate in order to meet the standard set by the IVCOP.
4 July 2019

Westpac New Zealand Limited - Enforceable Undertaking

Enforceable Undertaking by Westpac New Zealand Limited (WNZL) on 4 July 2019.
4 July 2019

Statement of Performance Expectations 2019

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 2019 report.
4 July 2019

Viaduct and Mutual - Judgment

Court of Appeal Judgment in the case against Paul Neville Bublitz, 4 July 2019.
1 July 2019

AML/CFT Annual Report form

This is a form for completion by all AML/CFT reporting entities to the FMA that should be completed and submitted on an annual basis.