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1. 16 June 2021

   Financial advice lender exclusion updated 2021

   This information sheet explains the circumstances that may exclude a lender from some Financial Markets Conduct Act 2013 (FMC Act) obligations related to financial advice. The exclusion applies only in relation to consumer credit contracts and certain credit-related insurance contracts. Updated documented published 16/06/21

2. 16 June 2021

   KiwiSaver switching behaviour 150621

   The aim of this research was to identify how any switches and other transactions took place between Febuary and April 2020 at the height of the market volatility associated with COVID-19

3. 16 June 2021

   Licensing interposed persons and engaged entity arrangements information sheet

   This information sheet sets out FMA’s approach to licensing financial advice arrangements and provides guidance on circumstances where an engaged entity or interposed person won’t need to be licensed as a FAP.

4. 14 June 2021

   Auditor Regulation and Oversight Plan 2021-2024

   This report summarises our plan relating to auditor oversight, as part of our obligation under section 52 of the Auditor Regulation Act 2011. It includes small changes to our previous plan, but overall our focus areas remain unchanged.

5. 14 June 2021

   Regulatory Impact Statement - Exemptions for Catalist Markets listed issuers for same class offers and small offers

   This document is for issuers listed on Catalist Markets, their advisers, and other interested parties. It discusses exemptions to enable Catalist listed issuers to make ‘same class’ offers and small offers of $2 million or less through the market.

6. 8 June 2021

   Exemption notice - Financial Markets Conduct Denarau Villas

   Financial Markets Conduct (Denarau Villas) Exemption Notice 2021

7. 3 June 2021

   Statement of Intent 2014

   Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2014 report.

8. 26 May 2021

   OIA market research question surrounding number of people working in financial markets

   OIA response, dated 26 May 2021, regarding a market research query surrounding number of licenses issued by the FMA

9. 24 May 2021

   What to expect from your financial adviser

   When you deal with a licensed financial advice provider NZ law entitles you to minimum standards of service. Most financial advice providers must be licensed by the Financial Markets Authority. Learn more about what to expect from your financial adviser

10. 21 May 2021

    Costs of FADC case - OIA request

    OIA response, dated 21 May 2021, costs incurred from investigation commencement to completion by FMA and FADC relating to FADC case reference FADC 010

11. 21 May 2021

    Exemption Notice - Silverwood Land 2015 Limited Partnership

    Financial Markets Conduct Exemption Notice 2021: Silverwood Land 2015 Limited Partnership

12. 17 May 2021

    Negative Interest Rate report 2021

    This report is for FMA-licensed entities and their key stakeholders. It gives feedback on key findings of the FMA’s September 2020 survey on industry readiness for negative interest rates.

13. 17 May 2021

    Social media transparency statement

    Read more about the policy that governs our use of social media platforms here.

14. 10 May 2021

    Steven Robertson - Appeal Judgment

    Supreme Court Judgment in the application of appeal by Steven Robertson, 10 May 2021.

15. 30 April 2021

    Class legislative notice summary 2021

    Class legislative notice summary, 30 April 2021