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  1. 1 March 2014

    Unsolicited Offers Monitoring Report 2014

    The Securities Markets (Unsolicited Offers) Regulations 2012 came into force on 1 December 2012, in response to concerns about ’low ball’ offers. FMA closely monitored compliance with the new regulations as one of our focus areas in 2013 for building customer trust. In this report we set out our findings and observations. These are based on our monitoring activities to 14 February 2014.

  5. 1 February 2014

    Investor experience of IPOs - research report

    This document explores attitudes towards investing in New Zealand’s financial markets, understand the experience of investing in New Zealand’s financial markets, understand the impact of offer documentation on investment decisions, and additionally, this research aims to provide profiling information on New Zealand investors. February 2014

  6. 1 February 2014

    Broker Obligations guidance note

    The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.

  12. 28 January 2014

    2014 Letter of Expectations

    The letter of expectation 2014 is delivered by the Minister to the FMA to formalise expectation of the FMA as a Crown entity.

  13. 24 January 2014

    Lombard - Settlement Agreement

    News release issued by PWC, 24 January 2014 about settlement agreement with the Directors of Lombard and their insurers.

  15. 17 December 2013

    National Bank of Slovakia - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the National Bank of Slovakia