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2 February 2016

Guide for charities

This information sheet outlines the options for community and voluntary organisations wanting to borrow money from investors. (This does not include donations).
1 February 2016

AML/CFT annual monitoring report 2015

The aim of this report is to summarise our monitoring to help firms and individuals better understand our expectations, and therefore improve their systems and processes, and ensure compliance with the Act. This report covers the period from 1 July 2014 to 30 June 2015.
1 February 2016

Consumer advisory network - charter of participation

Consumer Advisory Network charter of participation 2016
30 January 2016

Expense disclosure CE Gifts July 2015 December 2015

CE gifts and hospitality disclosure for the period 1 June 2015 - 31 December 2015
30 January 2016

Expense disclosure CE Hospitality July 2015 December 2015

CE expenses disclosure for the period 1 July 2015 - 31 December 2015
30 January 2016

Expense disclosure CE Other July 2015 December 2015

CE expenses disclosure for the period 1 July 2015 - 31 December 2015
30 January 2016

Expense disclosure CE Travel July 2015 December 2015

CE expenses disclosure for the period 1 July 2015 - 31 December 2015
12 January 2016

NZMDT Market Rules 2016

This notice allows for the NZX to replace the NZ Markets Disciolinary Tribunal Rules date 16 April 2015 with the NZMDT Rules provided to the FMA on 11 Nov 2015
25 December 2015

31 December 2015 Disclose Register Kiwisaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 December 2015
17 December 2015

Consultation paper Recognition of Overseas regimes proposed exemption relief

This consultation is for: overseas issuers, overseas FMC reporting entities, their advisers and auditors. It aims to: test the appropriate level of disclosure, governance, financial reporting and audit relief required by overseas entities under the Financial Markets Conduct Act 2013.
17 December 2015

Consultation paper Forestry scheme issues and exemption proposals

This consultation is for Forestry scheme issuers, supervisors, managers and investors.It aims to: Seek views from the industry and investors on whether forestry schemes should be granted exemptions from certain obligations, and outline FMA’s view on how schemes can approach some compliance obligations.
17 December 2015

Consultation paper proposed exemptions for existing property schemes

This consultation is for property scheme managers, supervisors, custodians and investors. It aims to: outline the FMA’s view on how existing property schemes can approach new compliance obligations, and seek views from the industry and investors on whether these schemes should be granted exemptions from certain obligations.
16 December 2015

Financial Markets Conduct Act (NZX Markets - Standard Settlement) Approval of Market Rules Notice 2015

FMC Act NZX Markets standard settlement approval of market rules notice 2015. (Document dated Dec 2015).
10 December 2015

Consultation Class designation of shares to MIPs in an MIS

This consultation is for offerors, managers, supervisors, investors, legal advisers and interested parties. It aims to: gain feedback on the impact of class designations that would treat shares as managed investment products in a managed investment scheme.
9 December 2015

CPA Australia accredited body report 2015

The Auditor Regulation Act 2011 (the Act) requires the FMA to monitor the audit regulatory systems of accredited bodies to ensure that these systems and processes are adequate and effective. This report contains the outcome of our monitoring assessment of CPA Australia for the period 1 July 2014 to 30 June 2015.