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30 July 2019

Expense disclosure CE Hospitality January to June 2019

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

Application form - Asia Region Funds Passport

Application form for FOREIGN passport funds wishing to make offers in New Zealand.
26 July 2019

Guidance for foreign passport fund operators

This guide is for foreign passport fund operators wanting to offer interests in regulated collective investment schemes (CIS) in New Zealand under the Asia Region Funds Passport regime.
25 July 2019

Exemption Notice - Managed Funds Loan Disclosure Requirements

Financial Markets Conduct Exemption Notice 2019: Managed Funds Loan disclosure requirements.
23 July 2019

Annual Corporate Plan 2019

This Annual Corporate Plan sets out our activities that will promote our strategic priorities, address regulatory risks and harms, and deliver sector outcomes. This plan should be read alongside our Strategic Risk Outlook (see below), which provides our medium-term view of the most significant risks to and opportunities for promoting fair, efficient and transparent financial markets.
23 July 2019

Strategic Risk Outlook 2019

The Strategic Risk Outlook 2019 provides our medium-term view (three to five years) of the most significant risks to and opportunities for promoting fair, efficient and transparent financial markets.
23 July 2019

Expensive Trials - OIA response

OIA response, dated 23 July 2019, regarding the FMA’s five most expensive trials, what they involved and a summary of costs
19 July 2019

Syndicated Trusts - Stop Order

The Stop Order issued by the FMA The Stop Order prohibits STL from certain activity, including:distributing communications and advertisements about itself or the offer of financial products, accepting applications or money for financial products.
19 July 2019

Exemption notice - Silver Chef Limited Notice

Financial Markets Conduct (Silver Chef Limited) Exemption Notice 2019
19 July 2019

Financial Planning Limited and Impact Enterprises Limited - reasons for Judgment

High Court reasons for Judgment in the case against Financial Planning Limited and Impact Enterprises Limited, 19 July 2019.
17 July 2019

Financial Planning Limited and Impact Enterprises Limited - Judgment

Judgment in the High Court in the case against Financial Planning Limited and Impact Enterprises Limited, 17 July 2019.
15 July 2019

Exemption notice - Napier Port Holdings Limited

Financial Markets Conduct (Napier Port Holdings Limited) Exemption Notice 2019
15 July 2019

OIA Investigation into the ANZ rural growth fund

OIA response, dated 15 July 2019, regarding any information related to the Rural Growth Fund Scheme (Scheme), operated by the National Bank and later the ANZ National Bank
11 July 2019

Cyber resilience in FMA regulated financial services

This report 2019 summarises the findings of our thematic review of cyber-resilience in New Zealand financial services, and provides guidance for firms in areas where we have identified the need for improvement. It will be useful for our regulated sectors, to help ensure they comply with our expectations and best practice.
11 July 2019

KiwiSaver Fees Comparison Report 2019

The purpose of this report is to report our findings on comparing the KiwiSaver fees with fees for UK Contract Based superannuation schemes.