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  2. 3 July 2014

    Review of non-filing of financial statements

    The purpose of this report is to remind directors of their statutory financial reporting obligations under the Financial Reporting Act 1993 (FRA), remind brokers and directors of the statutory filing obligations under the Securities Act (Contributory Mortgage) Regulations 1988, inform market participants of the findings of our review and highlight areas of concern, and inform market participants of FMA’s future focus in this area.

  4. 1 July 2014

    Financial Dispute Resolution Scheme - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and Fairway Resolution Limited trading as Financial Dispute Resolution Scheme

  5. 1 July 2014

    Serious Fraud Office (SFO) - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Serious Fraud Office

  8. 29 June 2014

    NZX Obligations Review 2014

    NZX, as New Zealand’s only Registered Exchange, is an essential part of New Zealand’s financial markets. The General Obligations Review provides FMA with the opportunity to report on the adequacy of the arrangements NZX had in place to comply with its obligations during a particular review period, and to identify issues that, in FMA’s view, would assist NZX to ensure its continued compliance.

  9. 18 June 2014

    Licensing guide - small DIMS businesses

    This guide supplements our main licensing application guide. It outlines how a small business providing lower risk Discretionary Investment Management Services (DIMS) can approach an application for a DIMS licence under the Financial Markets Conduct Act 2013 (FMC Act).