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1. 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

2. 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

3. 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.

4. 30 June 2014

   Exemption notice - Securities Act Kiwi Income Property Trust

   Securities Act Exemption Notice 2014:Kiwi Income Property Trust.

5. 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.

6. 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).

7. 17 June 2014

   NZ Markets Disciplinary Tribunal Rules - Approval of market rules notice 2014

   This notice allows for NZX to replace the NZ Markets Disciplinary Tribunal Rules dated 5 March 2013 with the NZ Markets Disciolinary Tribunal Rules dated 31 Jan 2014

8. 5 June 2014

   Strategic Finance - Enforceable Undertaking

   Enforceable Undertaking offered by the Directors of Strategic Finance on 5 June 2014.

9. 1 June 2014

   Certificate of compliance and authority to apply applicant or their authorised person

   Certification of Applicant's compliance with requirements and authority to apply for market service licence under Part 6 of the FMC Act 2013. This is relevant to Crowd funding; Peer-to-peer; MIS; DIMS; derivative issuers and independent trustee applicants.

10. 1 June 2014

    FMA’s supervision of Anti-Money Laundering and Countering Financing of Terrorism

    This 2014 document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).

11. 1 June 2014

    Declaration by current proposed senior manager of licence applicant

    Declaration to be completed by a current proposed senior manager of a licence applicant for all applications for roles under the FMC Act 2013.

12. 1 June 2014

    Declaration by current proposed director of licence applicant

    Declaration to be completed by current or proposed directors of a licence applicant for market services licences under the FMC Act 2013.

13. 1 June 2014

    Curriculum vitae of management team member of licence applicant

    Form to be completed with details of the Curriculum vitae of management team members of a licence applicant for all applications under the FMC Act 2013.

14. 1 June 2014

    Declaration by independent trustee individual

    Declaration form to be completed by individual independent trustees.

15. 1 June 2014

    Auditor regulation and oversight plan 2014 2017

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2014-2017 period