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23 November 2017

Fullerton Markets Ltd - Warning

Notification of a formal warning from the FMA to Fullerton Markets Ltd under section 80 of the Anti-money laundering and countering finance of terrorism Act 2009. 23 November 2017.
15 November 2017

Consultation documents for exemption to enable personalised digital advice

This consultation is for financial adviser entities, their advisers, and other interested parties. It seeks feedback on the draft exemption notice and application documents.
15 November 2017

Goldman Sachs New Zealand Limited - Investigation report

This report concerns an investigation by the Financial Markets Authority (FMA) into certain trading conduct of Goldman Sachs New Zealand Limited (GSJA).
14 November 2017

Consultation FMA Corporate Governance handbook

This consultation is for the directors, executives and advisers of non-listed and public-sector companies and other entities. We seek feedback about whether our revised handbook helps directors, executives and advisers to think about how to apply corporate governance principles.
2 November 2017

Briefing for incoming minister 2017

Briefing for the incoming Minister of Commerce and Consumer Affairs 2017
17 October 2017

Consultation Personalised robo advice Submissions report

A summary of submissions on the proposed exemption to facilitate personalised robo-advice.
10 October 2017

Regulatory Impact Statement: Non-NZX Broker Client Money 2017

This document is for non-NZX brokers and their clients. It discusses an exemption granted to non-NZX brokers
10 October 2017

The Bank Bill Benchmark Rate and closing rates guidance note

This guidance clarifies the FMA’s expectations about the trading conduct and controls for firms participating in the trading that sets BKBM and closing rates in the New Zealand market. October 2017.
10 October 2017

Bank Bill Benchmark Rate and closing rates resource sheet

This resource sheet explains how BKBM and closing rates operate and are regulated in New Zealand. It is aimed at local bank staff involved in trading activity or oversight of trading activity.
3 October 2017

KiwiSaver Annual Report 2017

We are required to report each year on our main KiwiSaver activities. This report covers the period from 1 July 2016 to 30 June 2017, and contains a summary of the statistical returns required to be lodged by KiwiSaver schemes as at 31 March 2017.
2 October 2017

Strategic Risk Outlook 2017

Our Strategic Risk Outlook 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.
30 September 2017

30 September 2017 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 30 September 2017
29 September 2017

FMA Annual Report 2017 Excluding financials

Our annual reports detail the results we have achieved against our stated intentions. These results then feedback into our next cycle of direction-setting, planning, implementation and review. Our annual reports are a great way to review our operational highlights for each financial year. This is the 2017 report without financials.
29 September 2017

FMA Annual Report 2017 including financials

Our annual reports detail the results we have achieved against our stated intentions. These results then feedback into our next cycle of direction-setting, planning, implementation and review. Our annual reports are a great way to review our operational highlights for each financial year.This is the 2017 report with financials.
28 September 2017

Short duration derivatives consultation submissions report

A summary of submissions on our consultation paper about short duration derivatives.