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  1. 9 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 report was published in 2015.

  2. 1 June 2015

    Investor Confidence Research 2015

    The Investor confidence Research report 2015 measures attitudes towards and investment in New Zealand’s financial markets. The research was carried out online using Colmar Brunton’s omnibus.

  3. 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.

  9. 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.

  10. 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.

  11. 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.

  14. 13 March 2015

    Financial Markets Conduct Act exemptions consultation paper

    The offer and management of most financial products will fall under the standard ‘regulated offer’ regime or within the Schedule 1 statutory exclusions. However, there are a few areas where the FMA may need to use class exemptions, frameworks, or methodologies and designations (the FMA’s legislative tools). We want preliminary comments on matters we believe should be considered for support by the FMA’s legislative tools, but for which we have not yet developed policy proposals. Your feedback will be considered in the development of our proposals

  15. 1 March 2015

    RBNZ designation and oversight of designated settlement system

    This document explains Part 5C of the Reserve Bank of New Zealand Act 1989 and the roles and policies of the Reserve Bank and the Financial Markets Authority in relation to the designation and oversight of designated settlement systems.