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1. 1 June 2015

   Exemption Notice 2015 - Financial Markets Conduct Sovereign Services Limited

   Financial Markets Conduct Sovereign Services Limited Exemption Notice 2015

2. 30 May 2015

   CMB Information Sheet for May 2015

   Offers of contributory mortgages made by contributory mortgage brokers who are not lawyers are regulated under the Securities Act (Contributory Mortgage) Regulations 1988 (Regulations). The Regulations exempt brokers from certain disclosure and governance requirements, under the Securities Act 1978.

3. 30 May 2015

   New requirements for lawyers offering contributory mortgages

   From 1 December 2016 all new offers of contributory mortgages must be made under the FMC Act.

4. 28 May 2015

   Commerce Commission v ANZ Bank New Zealand Ltd - Judgment

   Judgment in the High Court in the case between Commerce Commission and ANZ Bank New Zealand Limited, 28 May 2015.

5. 25 May 2015

   Pacific Edge Limited - Settlement Agreement

   Settlement agreement with Pacific Edge Limited (PEB), May 2015.

6. 24 May 2015

   FMA certification process for the registration of new KiwiSaver superannuation and workplace savings schemes information sheet

   This information sheet outlines the process for getting a certificate from the FMA to apply for registration of a new KiwiSaver, superannuation or workplace savings scheme.

7. 7 May 2015

   Exemption Notice 2015 - Financial Markets Conduct (The Warehouse Group Limited)

   Financial Markets Conduct (The Warehouse Group Limited) Exemption Notice 2015

8. 2 May 2015

   Consultation: Investor acknowledgement and warning for the $750,000 minimum investment wholesale investor exclusion

   This consultation is for: Wholesale investors, banks, brokers, issuers, legal advisers. It aims to test whether an exemption to the investor acknowledgement and warning requirements of the $750,000 minimum investment exclusion is needed in particular circumstances.

9. 1 May 2015

   Exemption Notice 2015 - Securities Act (NZX Limited)

   Securities Act (NZX Limited) Exemption Notice 2015

10. 28 April 2015

    Hanover - Settlement Agreement

    Settlement Agreement with the Directors' of Hanover Finance Ltd (HFL), United Finance Ltd (UFL) and Hanover Capital Limited (HCL), 28 April 2015.

11. 23 April 2015

    DIMS limit breaks under the FMC Act

    This information sheet outlines the obligations of Discretionary Investment Management Services (DIMS) providers under the Financial Markets Conduct Act 2013 (FMC Act) relating to investment authority limits and reporting breaches of those limits.

12. 13 April 2015

    Response to Submissions Derivatives Issuer Standard Condition: Suitability of Products for Clients

    In November 2013 we consulted on the minimum standards and conditions for derivatives issuers wishing to be licensed under the Financial Markets Conduct Act 2013 (the Act). As part of that consultation we sought feedback on a condition relating to the assessment of suitability of products for clients. Two options were provided, one being disclosure based and the other an assessment by the issuer.

13. 1 April 2015

    Exemption Notice 2015 - Financial Reporting Act (Deutsche Bank Aktiengesellschaft)

    Financial Reporting Act (Deutsche Bank Aktiengesellschaft) Exemption Notice 2015

14. 16 March 2015

    Proposed financial reporting exemptions for small and medium sized DIMS providers consultation paper

    The FMA is considering a class exemption for small and medium-sized licensed DIMS providers from certain financial reporting obligations. Our proposal is to put in place an exemption that will gradually introduce reporting and auditing requirements based on the size of the DIMS provider.

15. 16 March 2015

    Exemption Notice - Financial Markets Conduct South32 Limited

    Financial Markets Conduct (South32 Limited) Exemption Notice 2015