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23 May 2019

Application Form - Supervisors Licence TRU1.1 variation

APPLICATION FORM FOR FINANCIAL MARKETS SUPERVISORS LICENCE VARIATION
23 May 2019

Superannuation products

Superannuation schemes are managed fund investments. When you save via a superannuation scheme, your money is pooled with other New Zealander’s in your scheme and is spread across different kinds of investments. Some schemes offer additional benefits such as life or disability insurance. If you’re considering joining a workplace savings scheme instead of KiwiSaver, make sure you compare the benefits first.
14 May 2019

5 Most Expensive Trials - OIA response

OIA response, dated 14 May 2019, regarding the FMA’s five most expensive trials, what they involved and a summary of costs
1 May 2019

Financial reporting reviews 2019

This statement outlines our approach to financial reporting reviews, and highlights selected areas of interest for 2019/20 reviews.
1 May 2019

Morgan De Vere Corporate Finance Limited - Court decision

District Court decision in the case against Morgan De Vere Corporate Finance Limited, 1 May 2019.
24 April 2019

Exemption Notice - Financial Markets Conduct Goldman Sachs

Financial Markets Conduct Exemption Notice 2019: Goldman Sachs.
16 April 2019

Exemption Notice - RIS Group Limited

Financial Markets Conduct Exemption Notice 2019: RIS Group Limited.
15 April 2019

2019 Annual Letter of expectations

Annual letter of expectations from the Minister April 2019
12 April 2019

ANZ Bank New Zealand Limited - Supreme Court Judgment

Supreme Court Judgment in the case against ANZ Bank New Zealand Limited, 12 April 2019.
9 April 2019

Mark Talbot - Enforceable Undertaking

Mr Talbot has offered this enforceable undertaking following an investigation made by the FMA into his trading of shares in VMob Group Limited (VMob). 3 April 2019.
9 April 2019

Mark Stephen Talbot - Sentencing Notes

High Court Sentencing remarks in the case against Mark Stephen Talbot, 9 April 2019.
5 April 2019

Exemption Notice - OnePath Custodians Pty Limited

Financial Markets Conduct Exemption Notice 2019: OnePath Custodians Pty Limited.
4 April 2019

Financial Markets Conduct - NZX Listing Rules Approval of Rule Change Notice

This notice allows NZX to replace the NZX Issuer Rules, dated 1 January 2016, with the corresponding amended rules with effect from 1 January 2020 or as otherwise determined by NZX in accordance with the Participant Rule 1.4.1
3 April 2019

Exemption Notice - Financial Markets Conduct Harbour Investment Funds

Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019
1 April 2019

AML/CFT Annual Monitoring Report 2018

This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and its supporting regulations.