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  2. 1 October 2014

    Getting the best outcome from your AMLCFT Audit

    This information is intended to help our REs, especially small financial adviser businesses, get value from their AML/CFT Audit. Adopting all (or any) of these items in discussions with auditors is optional, but we believe that by considering these suggestions, REs are more likely to achieve the best possible results from their audit.

  4. 1 October 2014

    KiwiSaver Report 2014

    This KiwiSaver Report 2014 has been prepared in accordance with section 194 of the Act. It details the principal matters transacted under the Act during the period 1 July 2013 to 30 June 2014 (the Reporting Period), and contains the seventh annual summary of the statistical returns required to be lodged by KiwiSaver schemes under section 125 of the Act, as at 31 March 2014.

  5. 29 September 2014

    General Equity - Order

    Order issued by the FMA against General Equity and associated persons of General Equity on 29 September 2014

  7. 8 September 2014

    Consultation Paper: Derivatives Issuer Standard Condition on Suitability - Suitability of products for clients

    In November 2013 the Financial Markets Authority consulted on the minimum standards and conditions for derivatives issuers wishing to be licensed under the Financial Markets Conduct Act 2013 (the Act). As part of that consultation we sought responses on a condition relating to the assessment of suitability of products for clients. Two options were provided, one being disclosure based and the other an assessment by the issuer.

  8. 1 September 2014

    Governance under Part 4 of the FMC Act guidance

    This guidance note is for Issuers of debt securities, managers of investment schemes and their supervisors. It gives guidance on the expectations of the FMA on your approach to governance and accountability responsibilities that apply to Part 4 of the FMC Act 2015.

  9. 30 August 2014

    Creation of new unit trusts during transition period information sheet 2014

    This information sheet responds to queries by market participants about the ability to create new unit trust schemes under the Unit Trusts Act 1960 between 1 December 2014 and 30 November 2015. FMA’s opinion is that persons creating unit trusts between 1 December 2014 and 1 December 2015 can choose between regimes.

  10. 30 August 2014

    Guidance - One off Issuers

    This information sheet clarifies when one-off or occasional issuers must register on the Financial Service Providers Register (FSPR) under the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (in addition to any disclosure obligations that they may have under the Financial Markets Conduct Act 2013).