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1. 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.

2. 31 March 2019

   31 March 2019 Disclose Register KiwiSaver fund updates

   This document is the Disclose Register for KiwiSaver fund updates for 31 March 2019

3. 31 March 2019

   31 March 2019 Disclose Register MIS fund updates

   This document is the Disclose Register for MIS fund updates for 31 March 2019

4. 28 March 2019

   Richard Owen Dey - Notice of decision NZICA

   Notice by the NZ Institute of Chartered Accountants and notice of decision and order of the professional conduct committee on 4 February2019 in respect of Richard Owen Dey.

5. 27 March 2019

   Michael Derek Wood - notice of decision NZICA

   New Zealand Insitute of Chartered Accountants notice of decision and order of the professional conduct committee with regards to Michael Derek Wood in March 2019.

6. 22 March 2019

   Complaints against AFAs and RFAs - OIA response

   OIA, dated 22/03/2019, regarding complaints made to the FMA about Authorised Financial Advisers and Registered Financial Advisers over the last five years

7. 22 March 2019

   Spending on advertising - OIA response

   OIA Request regarding spending on advertising

8. 14 March 2019

   Bublitz First Trial costs - OIA response

   OIA response, dated 14 March 2019, regarding the cost breakdown of the Bublitz First Trial

9. 5 March 2019

   ANZ Bank New Zealand Limited - Appeal Judgment

   Judgment of the Court of Appeal in the case against ANZ Bank New Zealand Limited, 5 March 2019.

10. 28 February 2019

    ASX 24 Obligations Review 2018

    The FMA is required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations.The ASX 24 Obigations Review 2018 covers the period 1 July 2016 to 30 June 2018.

11. 21 February 2019

    Viaduct Capital & Mutual Finance - Judgment

    High Court verdicts and reasons in the case against Paul Bublitz, Bruce McKay and Richard Blackwood, 21 February 2019.

12. 21 February 2019

    Viaduct and Mutual finance - case verdicts

    High Court case verdicts and reasons in the case against Paul Bublitz, Bruce McKay and Richard Blackwood, February 2019.

13. 18 February 2019

    Bublitz Trial cost - OIA response

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

14. 18 February 2019

    Expense Disclosure CE Hospitality July Dec 2018

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

15. 18 February 2019

    Expense Disclosure CE Gifts July Dec 2018

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