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1. 14 August 2014

   Money Week Survey Report 2014

   2014 research report about New Zealanders' attitudes to investment.

2. 1 August 2014

   Fair dealing provisions transitional arrangements for advertising information sheet

   The fair dealing provisions relating to “financial products” and “financial services” make it an offence to engage in misleading or deceptive conduct in relation to financial products or to make false, misleading or unsubstantiated representations about financial products.

3. 30 July 2014

   Expense disclosure CE gifts 2014 jan feb

   CE gift and hospitality disclosure for the period 1 January 2014 - 30 June 2014

4. 30 July 2014

   Expense disclosure CE gifts 2014 jan jun

   CE gifts and benefits disclosure for the period 1 January 2014 - 30 June 2014

5. 30 July 2014

   Expense disclosure CE expenses travel 2014 jan jun

   CE expenses disclosure for the period 1 January 2014 - 30 June 2014

6. 30 July 2014

   Expense disclosure CE expenses other 2014 jan jun

   CE expenses disclosure for the period 1 January 2014 - 30 June 2014

7. 30 July 2014

   Expense disclosure CE hospitality 2014 jan jun

   CE expenses disclosure for the period 1 January 2014 - 30 June 2014

8. 17 July 2014

   Declaration - Supervisors licence TRU2.1 variation

   SUPPORTING INFORMATION CHECKLIST AND STATUTORY DECLARATION INFORMATION FOR LICENSING UNDER SECTION 16 OF THE FINANCIAL MARKETS SUPERVISORS ACT 2011 (The Act)

9. 2 July 2014

   Exemption Notice - Securities Act Vista Group International Limited

   Securities Act (Vista Group International Limited) Exemption Notice 2014

10. 1 July 2014

    Financial Dispute Resolution Scheme - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and Fairway Resolution Limited trading as Financial Dispute Resolution Scheme

11. 1 July 2014

    Serious Fraud Office (SFO) - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Serious Fraud Office

12. 30 June 2014

    Going Concern disclosures in financial statements

    The purpose of this 2014 report is to inform market participants of the findings of our review and highlight areas of concern.

13. 30 June 2014

    Exemption notice - Securities Act Kiwi Income Property Trust

    Securities Act Exemption Notice 2014:Kiwi Income Property Trust.

14. 29 June 2014

    NZX Obligations Review 2014

    NZX, as New Zealand’s only Registered Exchange, is an essential part of New Zealand’s financial markets. The General Obligations Review provides FMA with the opportunity to report on the adequacy of the arrangements NZX had in place to comply with its obligations during a particular review period, and to identify issues that, in FMA’s view, would assist NZX to ensure its continued compliance.

15. 18 June 2014

    Licensing guide - small DIMS businesses

    This guide supplements our main licensing application guide. It outlines how a small business providing lower risk Discretionary Investment Management Services (DIMS) can approach an application for a DIMS licence under the Financial Markets Conduct Act 2013 (FMC Act).