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30 January 2015

Expense disclosure CE 2014 Jul Dec

CE expenses disclosure for the period 1 July 2014 - 31 December 2014
30 January 2015

Expense disclosure CE Travel 2014 Jul Dec

CE expenses disclosure for the period 1 July 2014 - 31 December 2014
15 January 2015

Institute of Directors - Directors guide

This guide from the IoD outlines some of the essential behaviours directors should demonstrate to meet legal, regulatory and ethical standards, and tells you where you can go to find out more.
13 January 2015

2015 Letter from the Minister

Annual letter from the Minister 2015.
19 December 2014

Consultation Personalised DIMS response to submissions

The table in this paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”) released on 19 November 2014. Five written submissions were received. The FMA has considered all submissions and our response to the main issues is set out in the table below.
19 December 2014

Response to submissions Consultation paper Personalised DIMS.1

The table in this paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”) released on 19 November 2014. Five written submissions were received. The FMA has considered all submissions and our response to the main issues is set out in the table below.
19 December 2014

Exemption Notice - Securities Act Heartland Bank Regulatory Capital

Securities Act Exemption Notice 2014: Heartland Bank Regulatory Capital.
17 December 2014

NZICA Accredited Bodies Report 2014

This report contains the outcome of our assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2013 to 30 June 2014.
10 December 2014

Banking Ombudsman Scheme Limited - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Banking Ombudsman Scheme Limited
3 December 2014

ANZ Bank New Zealand Limited - Settlement Agreement

Settlement Agreement with ANZ Bank New Zealand Limited regarding interest rate swaps sales to certain rural customers, 3 December 2014.
3 December 2014

Commerce Commission v ANZ - Settlement Agreement

Settlement Agreement made with New Zealand Commerce Commission by ANZ Bank New Zealand Limited following an investigation into interest rate swaps transactions with rural customers between 2005 and 2009. 3 December 2014.
1 December 2014

Consultation Fund update template and guidance for calculating risk indicators

This paper is for market participants that manage funds and for their supervisors and investors. It explains how we propose to use two of the tools available to the FMA under the Financial Markets Conduct Act 2013 (FMC Act) and the Financial Markets Conduct Regulations 2014 (Regulations) to support the new offers regime for managed funds. We are consulting on a proposed ‘frameworks or methodologies’ (FM) template for fund updates and new guidance for calculating risk indicators.
1 December 2014

Accredited Body Report Certified Public Accountants Australia 2014

This report contains the outcome of our assessment of Certified Public Accountants Australia (CPA Australia) for the period 1 July 2013 to 30 June 2014 (the Review Period).
1 December 2014

Corporate Governance in New Zealand - Principles and Guidelines

This handbook is intended as a reference for directors, executives and advisers to decide how best to apply the principles to their particular entity.
1 December 2014

Exemptions under Financial Advisers Act 2008 guidance

This guidance note explains the our approach to granting exemptions under the Financial Advisers Act 2008. It is intended to provide answers to commonly asked questions in relation to exemptions and to provide information to potential applicants on the process for making an application.