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2 February 2017

FMAs view of conduct guidance

This guidance note is for: directors and executives of licensed financial services providers. The guide was published in 2017.
30 January 2017

Expense disclosure CE Gifts July December 2016

CE gifts and hospitality disclosure for the period 1 June 2016 - 31 December 2016
30 January 2017

Expense disclosure CE Other July December 2016

CE expenses disclosure for the period 1 July 2016 - 31 December 2016
30 January 2017

Expense disclosure CE Travel July December 2016

CE expenses disclosure for the period 1 July 2016 - 31 December 2016
25 January 2017

Regulatory Impact Statement – Forestry schemes 2017

This document is for managers, supervisors, custodians and investors in forestry schemes. It discusses exemptions granted to forestry schemes.
25 January 2017

Regulatory Impact Statement – Property schemes 2017

This document is for: managers, supervisors, custodians and investors in property schemes. It discusses exemptions granted to property schemes.
16 January 2017

Consultation paper Requirement for managers of multiple participant schemes to register participation agreements 1

The consultation seeks feedback on our proposal to exempt managers of multiple participant schemes from the requirement to register participation agreements entered into with the various employers they service.
13 January 2017

Exemption Notice - JP Morgan Global Growth Income plc and JPMorgan Japanese Investment Trust plc

Financial Markets Conduct (JP Morgan Global Growth & Income plc and JP Morgan Japanese Investment Trust plc) Exemption Notice 2016
23 December 2016

31 December 2016 Disclose Register Kiwisaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 December 2016
22 December 2016

How the FMC Act will affect co operative companies and industrial and provident societies that have issued or intend to issue co operative shares guidance

This information sheet outlines the options for co-operative companies and industrial and provident societies (IPSs) (collectively referred to as co-operatives) offering and managing co-operative shares.
21 December 2016

FMA Briefing to Incoming Minister 2016

FMA Briefing to Incoming Minister 2016
13 December 2016

ASX 24 review 2016

Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives market) in New Zealand. We are required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations. This review period covers 1 July 2014 to 30 June 2016. This is our first review of ASX 24 since its licence came into effect on 1 December 2014.
12 December 2016

CPA accredited body report 2016

The Auditor Regulation Act 2011 (the Act) requires us to monitor and ensure the audit regulatory systems and processes used by accredited bodies are adequate and effective. This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2015 to 30 June 2016.
12 December 2016

NZICA accredited body report 2016

The Auditor Regulation Act 2011 (the Act) requires us to monitor and ensure the audit regulatory systems and processes used by accredited bodies are adequate and effective. This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2015 to 30 June 2016.
8 December 2016

AML/CFT Monitoring Report 2016

This report summarises our monitoring activities to help firms and individuals better understand our expectations and how they can improve their systems and processes, to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act). This report covers the period from 1 July 2015 to 30 June 2016. It was our third year of monitoring compliance with the Act.