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18 February 2019

Bublitz Trial cost - OIA response

OIA response, dated 18 February 2019, rearding R v Bublitz & Ors second trial costs
18 February 2019

Expense Disclosure CE Hospitality July Dec 2018

CE expense disclosure for the period 1 July 2018 - 31 December 2018.
18 February 2019

Expense Disclosure CE Gifts July Dec 2018

CE gifts and benefits disclosure for the period 1 July 2018 - 31 December 2018
18 February 2019

Expense Disclosure CE Other July Dec 2018

CE expense disclosure for the period 1 July 2018 - 31 December 2018.
18 February 2019

Expense Disclosure CE Travel July Dec 2018

CE expense disclosure for the period 1 July 2018 - 31 December 2018.
15 February 2019

Financial Markets Conduct (NZX Participant Rules) - Approval of Rule Change Notice 2019

This notice approves changes to the Participant Rules that were provided to the FMA by NZX for approval on 18 December 2018 with further minor amendments provided 17 January 2019.
15 February 2019

Gifts and Hospitality since 2013 - OIA response

OIA response, dated 15 Feb 2019, requesting information surrounding any gifts and hospitality given to FMA staff by private organisations since 2013.
15 February 2019

Financial Advisers Disciplinary Committee decisions - OIA request

OIA respnse, dated 15 February 2019, regarding Financial Advisers Disciplinary Committee (FADC) example cases and decisions
5 February 2019

OIA Reporting Enitites

OIA response, dated 5 February 2019, regarding the number of times in 2019 that the FMA requested a reporting entity (RE) seek an audit of its risk assessment
29 January 2019

Life Insurer Conduct and Culture 2019

Findings from an FMA and RBNZ review of conduct and culture in New Zealand life insurers.
30 December 2018

31 December 2018 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 December 2018
30 December 2018

31 December 2018 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 31 December 2018
21 December 2018

Exemption Notice - Financial Markets Conduct Invion Limited

Financial Markets Conduct (Invion Limited) Exemption Notice 2018
19 December 2018

NZX NZ Market Disciplinary Tribunal Rules Approval of Rule Changes 2018

NZX NZ Market Disciplinary Tribunal Rules Approval of Rule Changes 2018
19 December 2018

NZX Derivatives Market Rules - Approval of Rule Changes 2018

This notice approves changes to the Derivates Rules that were provided to the FMA by NZX for approval on 13 Nov 2018. The changes approved are: necessary amendments to ensure consistency with the listing rules and the Captial Adequcy rules have been amended to include "Fund" as well as Debt and Equity Securities.