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30 July 2018

Expense disclosure CE Travel January to June 2019

CE expenses disclosure for the period 1 January 2018 - 30 June 2018
26 July 2018

Opt-out of the IDCOP - OIA response

OIA response, 26 July 2018, regarding FMA processing notifications to opt-out of the IDCOP
23 July 2018

Letter to agencies regarding State Services Commission Inquiry

Letter to agencies regarding State Services Commission (SSC) inquiry into the use of external security consultants, dated 23 July 2018
19 July 2018

Consultation paper Determining whether you are acquiring a business or assets

This consultation is for issuers, their advisers, investors and other interested parties. We are seeking feedback on our proposed guidance and interpretation of the Regulations.
19 July 2018

FMA OIA statistics - OIA response

OIA response, dated 19 July 2018, asking for how many OIA requested were received for the previous two financial years.
19 July 2018

Determining whether you are acquiring a business or assets feedback form

Consultation paper feedback form: determining whether you are aquiring a business or assets
16 July 2018

Exemption from the market index requirement guidance

This guidance note aims to clarify what we expect of MIS managers in relation to the market index requirement for quarterly fund updates.
9 July 2018

Consultation paper on legislative notices and unnecessary compliance cost

This consultation paper is for participants who rely on our legislative notices; legal advisers; and other interested parties. It seeks feedback on whether any notice granted by us insufficiently addresses, or inadvertently creates, unnecessary compliance costs.
3 July 2018

Class legislative notice summary 2018

This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 2 July 2018. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.
3 July 2018

Disclosure of significant accounting estimates

This information sheet explains our expectations on disclosure of significant accounting estimates. It is part of our work on improving the overall quality of information being disclosed in financial statements.
2 July 2018

QFE insurance providers’ replacement business practices

This thematic review published in July 2018 focuses on QFE insurance providers’ replacement business practices and assesses how their policies and procedures are designed to ensure consumer protection at the point of policy replacement.
30 June 2018

30 June 2018 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 30 June 2018
30 June 2018

30 June 2018 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 30 June 2018
28 June 2018

NZX Obligations Review 2018

Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2018.
27 June 2018

Improving financial statements monitoring report

This monitoring report summarises the findings from our thematic review to determine the extent of improvements in the presentation of financial statements in a clear, concise and effective way, and sets out some suggestions for additional improvement.