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27 September 2019

Eoin Malcolm Miller Johnson - Enforceable Undertaking

Enforceable Undertaking by Eoin Malcolm Miller Johnson on 27 August 2019.
26 September 2019

Consultation green bonds and other responsible investment products

This consultation seeks issuer and investor input on green bonds and other responsible investment products that expressly take into account environmental, social, and/or governance considerations. Submissions will initially be used to help us develop guidance for issuers.
25 September 2019

Green bonds and other responsible investment products feedback form

Feedback form: Consultation on Green bonds and other responsible investment products
11 September 2019

Director Essentials in Te Reo Maori - IoD

Ka tautoko ngā poari whakahaere rangatōpū pai i te angitu o ngā kaihaumi. Hei hāpai kia tipu ai, kia momoho ai ngā kamupene, me mōhio ngā whakataka ki te whakahaere mōrea me te whai i ngā huarahi mōrea i runga i te wairua takohanga. Ehara te noho hei whakataka i te ingoa noa iho. He matawhānui ngā mahi me ngā herenga matatika, ture, arumoni hoki o te tūnga whakataka. This guide was issued by the FMA and Institute of Directors.
9 September 2019

Growing New Zealands Capital Markets 2029

This report provides an overview of the process and key recommendations which we believe will have a higher impact on the New Zealand capital markets ecosystem in the coming decade
23 August 2019

Standard conditions for independent trustee corporates

If the FMA grants you an independent trustee licence (as a corporate), the licence will be subject to conditions as set out in section 402 of the Financial Markets Conduct Act 2013 (FMC Act).
23 August 2019

Standard conditions for independent trustee individuals

If the FMA grants you an independent trustee licence (as an individual), the licence will be subject to conditions as set out in section 402 of the Financial Markets Conduct Act 2013 (FMC Act).
15 August 2019

Consultation New financial advice regime exemptions

This consultation is for any person giving regulated financial advice or providing client money or property services, and their advisers and interested parties. It seeks feedback on proposed exemption support for the new financial advice regime.
12 August 2019

Exemption notice - Methven Limited Notice

Financial Markets Conduct (Methven Limited) Exemption Notice 2019
9 August 2019

Guidance on Expired Passports as Identification for Customer Due Diligence

The AML/CFT supervisors have become aware of the need for clear guidance on the use of expired passports as part of Customer Due Diligence procedures and how it relates to the Amended Identity Verification Code of Practice 2013 (‘the code’).
1 August 2019

Interest rate swap investigation - OIA request

OIA response, dated 1 August 2019, which looked at the investigation by the FMA in 2012-2013 into banks marketing, promoting and selling interest rate swaps between 2005 and 2009. As well as complaints surrounding interest rate swap and the final settlement number with the banks.
1 August 2019

Identity Verification Code of Practice - OIA request

OIA response, dated 1 August 2019, where we provided information about the Identity Verification Code of Practice, as well as the Explanatory Note
1 August 2019

Expense disclosure CE Gifts January to June 2019

CE gifts and hospitality disclosure for the period 1 January 2019- 30 June 2019
1 August 2019

Expense disclosure CE Other January to June 2019

CE expenses disclosure for the period 1 January 2019 - 30 June 2019.
30 July 2019

Payments to social media influencers - OIA request

OIA response, dated 30 July 2019, where costs were queried in relation to three public awareness campaigns in which social media influencers received payment for posts.