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30 July 2013

Expense disclosure CE 2013 jan jun

CE expenses disclosure for the period 1 January 2013 - 3 June 2013
30 July 2013

Expense disclosure CE Travel 2015 Jan Jun

CE expenses disclosure for the period 1 January 2015 - 30 June 2013
30 July 2013

Expense disclosure CE travel 2013 jan jun

CE expenses disclosure for the period 1 January 2013 - 30 June 2013
12 July 2013

consultation paper charitable and religious purposes exemption review

In this paper we seek submissions on proposals relating to the review the Financial Markets Authority (FMA) is undertaking on the Securities Act (Charitable and Religious Purposes) Exemption Notice 2003 (SR 2003/66) (the CRP Notice), which is due to expire on 30 November 2013. FMA is reviewing the CRP Notice simultaneously with the Reserve Bank of New Zealand’s review of the appropriate treatment of charitable and religious organisations under the Non-bank Deposit Takers regime.
11 July 2013

consultation paper practical implications of reporting entities transacting with other reporting entities and the factsheet on managing intermediaries

In this paper FMA seeks submissions on the practical implications of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘AML/CFT Act’) in situations where reporting entities are transacting with other reporting entities.
1 July 2013

FMA progress review stakeholder feedback report 2013

This report is the result of a review conducted by Oliver Wyman focusing on stakeholder perspectives on achievements, short-comings and future priorities for New Zealand’s Financial Markets Authority. The report was published in July 2013
29 June 2013

NZX Obligations Review 2013

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 2013.
13 June 2013

Investigations and Enforcement Report 2013

This report highlights the key issues and themes that have emerged through FMA’s investigations and enforcement activities from July 2012 to June 2013.
11 June 2013

National Finance - Appeal Judgment

Court of Appeal Judgment in the case against Trevor Allan Ludlow, 7 June 2013.
1 June 2013

Securities trustees and statutory supervisors monitoring guidance

This guidance note is for licensed securities trustees and statutory supervisors. It sets out the Financial Market Authority’s (FMA) expectations of how they will carry out their monitoring functions effectively.
1 June 2013

Monitoring of KiwiSaver Offer Documents

This 2013 report outlines to issuers, their directors and advisers, our views and observations on current market practices. In FMA’s view the principles outlined in this report are relevant to managed funds in general and not just KiwiSaver schemes.
1 June 2013

AML/CFT annual monitoring report 2013

This document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).
1 June 2013

Auditor regulation and oversight plan 2013 2016

Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2013-2016 period
14 May 2013

Fonterra Shareholders' Market Rules - Approval of market rules notice 2013

The FSM Rules dated 14 May 2013 introduce the Diversity Rule. The Diversity Rule incorporates specific reporting requirements for Fonterra Co-operative Group Limited in relation to gender diversity and diversity policy.
1 May 2013

Hybrid financial instrument disclosures report 2013

FMA reviewed the accounting classification and disclosure of financial instruments classified as hybrid instruments listed on the NZX debt market, as at 1 December 2012. This report outlines our findings and recommendations.