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25 January 2022

FMA Annual Report 2021

Our annual reports detail the results we have achieved against our stated intentions. These results then feedback into our next cycle of direction-setting, planning, implementation and review. Our annual reports are a great way to review our operational highlights for each financial year. This is the 2021 report.
19 January 2022

KiwiSaver Switching Behaviour KiwiSaver Member Stories

The FMA commissioned PwC’s behavioural science team to examine KiwiSaver switching behaviour during the height of COVID-19 market volatility, with data provided by 11 KiwiSaver providers.
14 January 2022

Expense disclosure CE Hospitality July December 2016

CE expenses disclosure for the period 1 July 2016 - 31 December 2016
12 January 2022

Statement of Performance Expectations 2016

The Statement of Performance Expectations (SPE) is one of two documents that set out how we measure our future performance and report on the progress of that performance against our performance targets. This is our 2016 report.
1 January 2022

NZX Participant Rules 2017

NZX participant rules 2017
26 December 2021

31 December 2021 Disclose Register MIS fund updates

Disclose MIS Manager fund updates for 31 December 2021
24 December 2021

31 December 2021 Disclose Register KiwiSaver fund update
22 December 2021

Medical Kiwi Limited - Enforceable Undertaking

In August 2020, Medical Kiwi offered shares to potential investors via the online crowd funding platform PledgeMe Limited. These undertakings relate to misleading statements by Medical Kiwimade in August 2020 in relation to the Offer.
16 December 2021

Customer care managing conflicts of interest self assessment tool
15 December 2021

Fonterra Shareholders' Market Listing Rules - Approval of Change Notice 2021

The amendments to the FSM Listing Rules are generally consequential on external factors relating to Fonterra, and include the following: FSM Listing Rule 1.8.2, Rules 1.8.2(c), 1.8.4(a) and 6.1.2(a)(ix) and (x) and the Glossary, and, FSM Listing Rule 6.1.2 are amended
13 December 2021

Financial Services Complaints Limited - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Financial Services Complaints Limited
13 December 2021

Insurance and Financial Services Ombudsman Scheme - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Financial Services Ombudsman Scheme
13 December 2021

Squirrel P2P Trustee Limited - Public Warning

Public warning issued under Section 9 of the Financial Markets Authority Act 2011 regarding Squirrel P2P Trustee Limited, FSP 415167. 13 December 2021.
10 December 2021

FMA Annual Report 2021 - preview

Preview of the FMA Annual Report 2021.
10 December 2021

Outsourcing CDD to a third party provider Reminder to FMA and DIA reporting entities

While third-party providers can provide a useful service, both the DIA and FMA are aware of an increasing number of reporting entities taking a view that the third-party provider “just takes care of it all” and that all CDD requirements are then met. This is not the case. Read more about outsourcing your CDD requirments.