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1. 27 February 2019

   onathan Branton-Casey - Enforceable Undertaking

   On 27 February 2019, Jonathan Branton-Casey offered, and the FMA accepted, the attached Enforceable Undertaking pursuant to section 46 of the Financial Markets Authority Act 2011.

2. 21 February 2019

   Viaduct Capital & Mutual Finance - Judgment

   High Court verdicts and reasons in the case against Paul Bublitz, Bruce McKay and Richard Blackwood, 21 February 2019.

3. 21 February 2019

   Viaduct and Mutual finance - case verdicts

   High Court case verdicts and reasons in the case against Paul Bublitz, Bruce McKay and Richard Blackwood, February 2019.

4. 18 February 2019

   Bublitz Trial cost - OIA response

   OIA response, dated 18 February 2019, rearding R v Bublitz & Ors second trial costs

5. 18 February 2019

   Expense Disclosure CE Hospitality July Dec 2018

   CE expense disclosure for the period 1 July 2018 - 31 December 2018.

6. 18 February 2019

   Expense Disclosure CE Gifts July Dec 2018

   CE gifts and benefits disclosure for the period 1 July 2018 - 31 December 2018

7. 18 February 2019

   Expense Disclosure CE Other July Dec 2018

   CE expense disclosure for the period 1 July 2018 - 31 December 2018.

8. 18 February 2019

   Expense Disclosure CE Travel July Dec 2018

   CE expense disclosure for the period 1 July 2018 - 31 December 2018.

9. 15 February 2019

   Financial Markets Conduct (NZX Participant Rules) - Approval of Rule Change Notice 2019

   This notice approves changes to the Participant Rules that were provided to the FMA by NZX for approval on 18 December 2018 with further minor amendments provided 17 January 2019.

10. 15 February 2019

    Gifts and Hospitality since 2013 - OIA response

    OIA response, dated 15 Feb 2019, requesting information surrounding any gifts and hospitality given to FMA staff by private organisations since 2013.

11. 15 February 2019

    Financial Advisers Disciplinary Committee decisions - OIA request

    OIA respnse, dated 15 February 2019, regarding Financial Advisers Disciplinary Committee (FADC) example cases and decisions

12. 5 February 2019

    OIA Reporting Enitites

    OIA response, dated 5 February 2019, regarding the number of times in 2019 that the FMA requested a reporting entity (RE) seek an audit of its risk assessment

13. 29 January 2019

    Life Insurer Conduct and Culture 2019

    Findings from an FMA and RBNZ review of conduct and culture in New Zealand life insurers.

14. 30 December 2018

    31 December 2018 Disclose Register KiwiSaver fund updates

    This document is the Disclose Register for KiwiSaver fund updates for 31 December 2018

15. 30 December 2018

    31 December 2018 Disclose Register MIS fund updates

    This document is the Disclose Register for MIS fund updates for 31 December 2018