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1 July 2021

Administrators of financial benchmarks BMA3 Fit and Proper declarations form

Administrators of financial benchmarks BMA3 Fit and Proper declarations form.
1 July 2021

Administrators of financial benchmarks BMA.1 Application form

Administrators of financial benchmarks BMA.1 Application form
1 July 2021

FAP Licensing Application Guide Class 1 questions

FAP Licensing Application Guide Class 1 questions: This document contains the questions you will be asked when applying for a Class 1 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.
1 July 2021

Crowdfunding issuers

This page covers specific obligations of crowdfunding issuers when offers are made of financial products
1 July 2021

Peer-to-peer lending borrowers

This page covers specific obligations of peer-to-peer lending borrowers when offers of financial products are made.
30 June 2021

30 June 2021 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 30 June 2021
30 June 2021

30 June 2021 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 30 June 2021
30 June 2021

Filing of financial statements: review findings and guidance

This document provides a summary of the key findings and insights from our monitoring review of financial reporting filing obligations. It also provides guidance and sets our expectations for future reporting periods.
30 June 2021

Exemption Notice - Financial Markets Conduct (Foodstuffs Provident Fund)

Financial Markets Conduct (Foodstuffs Provident Fund) Exemption Notice 2021
30 June 2021

Exemption notice - Financial Markets Conduct (FNZ Group) 2021

Financial Markets Conduct (FNZ Group) Exemption Notice 2021
29 June 2021

ICE Futures Europe general obligations review 2021

The UK Financial Conduct Authority (FCA) is IFEU’s primary regulator. Our review therefore focuses on whether the FCA was satisfied with IFEU’s compliance during the review period. 2021 ICE Futures Europe general obligations review
29 June 2021

ICE Futures US general obligations review 2021

The US Commodity Futures Trading Commission (CFTC) is IFUS’s primary regulator. Our review therefore focuses on whether the CFTC was satisfied with IFUS’s compliance during the review period. 2019-2020 ICE Futures US general obligations review.
28 June 2021

NZX Market Operator Obligations Review 2021

Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2020
24 June 2021

Statement of Performance Expectations 2021 to 2022

Our Statement of Performance Expectations outlines our short-term (annual) performance targets. It should be read in conjunction with our Statement of Intent. This is the 2021 to 2022 report.
24 June 2021

How to operate

Getting prepared for licensing covers: who will need a licence under the new financial advice regime; the different ways to operate under the new regime, and provides an easy-to-navigate tool that will help guide you through the options if you're unsure how you wish to operate. See more.