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1. 1 June 2012

   Licence Application Guide - overseas Auditors and Audit Firm registrations

   This guide is for overseas auditors and overseas audit firms. It explains how: an overseas audit firm can apply for authorisation of its registration; overseas auditors can apply for licences (which are not transitional licences and are referred to in this guide as ‘standard’ licences).

2. 1 June 2012

   Auditor regulation and oversight plan 2012 2015

   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 2012-2015 period

3. 18 April 2012

   ARA Prescribed Minimum Standards and Conditions for Licensed Auditors and registered audit firms 2012

   This notice is the Auditor Regulation Act prescribed Minimum standards and conditions for licensed auditors and registered audit firms 2012

4. 8 April 2012

   Auditor Regulation Act - Prescribed Minimum Standards for Accredited Bodies - 2012

   Prescribed Minimum Standards for Accredited Bodies - Notice 2012. This notice comes into force the day after its notification in the NZ Gazette

5. 1 April 2012

   April 2012 Policies and guidance for the assessment of applications to be an accredited body

   This document sets out FMA’s policies in relation to how it will act in determining applications for accreditation and in imposing, varying, removing or adding to conditions of accreditation, as well as explaining how to apply for accredited body status.

6. 12 March 2012

   Exemption notice - Securities Act Fonterra Co operative Group limited

   Securities Act Exemption Notice 2012: Fletcher Building Limited and Fletcher Building Industries Limited.

7. 24 February 2012

   Lombard Finance and Investments Limited. - Judgment

   Judgment in the case against Lombard Finance and Investments Limited.

8. 31 January 2012

   AML/CFT Guide for small financial adviser businesses

   This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).

9. 30 January 2012

   Expense disclosure CE gifts and hospitality six monthly disclosure 2011 jul dec

   CE expenses disclosure for the period 1 July 2011 - 31 December 2011

10. 22 December 2011

    Exemption notice - Securities Act Argosy Property Limited 2011

    Securities Act Exemption notice - Argosy Property Limited 2011

11. 13 December 2011

    Kiwi Finance - Enforceable Undertaking

    Enforceable Undertaking offered by Kiwi Finance Directors on 13 December 2011.

12. 7 December 2011

    Reserve Bank of New Zealand (RBNZ) settlement systems - MOU

    MOU with Reserve Bank of New Zealand (RBNZ) on the designation and oversight of settlement systems

13. 2 December 2011

    Consultation Proposed Guidance Note KiwiSaver Performance Fees Kensington Swan submission

    Response to consultation from Kensington Swan: KiwiSaver performance fees draft guidance note

14. 1 November 2011

    KiwiSaver performance fees guidance

    This guidance note is designed to provide the Managers and Trustees of KiwiSaver schemes with a basis on which they can determine whether any performance fees that are proposed to be charged, or are chanrged, either directly or indirectly to a member's investment in the Scheme can be considered "not reasonable".

15. 25 October 2011

    Securities commission Annual Report 2011

    The annual report as published by the Securities Commission in 2011.