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  4. 13 July 2015

    Electricity Authority - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Electricity Authority

  6. 6 July 2015

    Risk indicators and descriptions of managed funds draft guidance

    In December 2014 we consulted on guidance for calculating risk indicators. After consultations, feedback and subsequent discussions with businesses who have been involved in producing draft product disclosure statements, we believe it would be useful to extend that guidance note to cover additional related matters.

  7. 30 June 2015

    Disclosure of fees paid to auditors by listed issuers

    We have found significant improvements in the disclosure of fees paid to auditors of listed issuers in our 2015 report. This gives users of financial statements an accurate picture of the split of fees for audit and nonaudit services and, together with the additional disclosures we have seen in almost half of the annual report reviewed, allows users to have a better perception of the external auditor’s independence.

  8. 30 June 2015

    User Guide: Annual AML/CFT Report

    The annual report is required by section 60 of New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘the Act’). The annual report applies to activities that are covered by the Act.

  10. 29 June 2015

    NZX Obligations Review 2015

    The Financial Markets Conduct Act 2013 (FMC Act) requires the FMA to carry out a review, at least annually, of how well a licensed market operator is meeting the market operator obligations contained in section 314 of the FMC Act, and to publish a written report. This report was published in 2015.

  11. 26 June 2015

    DIMS providers Calculation of returns for information sheet

    This information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).

  12. 23 June 2015

    Ease of doing business Stakeholder research 2015

    The FMA’s “Ease of doing business survey” is a piece of research from a sample of our regulated populations and the stakeholders we deal with. This research helps us to better understand the impact that our work has on market participants and stakeholders. It informs the way we work and our focus on continuous improvement in our effectiveness and efficiency.

  13. 18 June 2015

    Statement of Intent 2015

    This Statement of Intent further develops our strategic direction for the coming four years from July 2015 to June 2019 and has been prepared in accordance with Part 4 of the Crown Entities Act 2004. It should be read in conjunction with the Statement of Performance Expectations for each year. This is the 2015 report.