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  4. 1 July 2020

    culwalla consulting submission

    Response to Consultation Paper - Culwalla Consulting: Practical implications of Reporting Entities transacting with other Reporting Entities and the Factsheet on Managing Intermediaries.

  5. 1 July 2020

    Derivatives Issuer Sector Risk Assessment

    This sector risk assessment summarises the key risks posed by licensed Derivatives Issuers (DIs) to the FMA’s objective of promoting fair, efficient and transparent financial markets. It is based on a self-assessment completed by DIs, as well as our interactions with DIs and their clients since FMC Act licensing began.

  7. 1 July 2020

    Registering correctly on the FSPR

    The new financial advice regime requires you to update your details on the public register of financial service providers (FSPR). This register is located on the Companies Office website. How you update your registration on the FSPR will depend on how you plan to operate in the new regime. This fact-sheet explains what you need to know.

  8. 30 June 2020

    Consultation Joint response to managing intermediaries 11 nov 2013

    The Financial Markets Authority published a consultation paper on 11 July 2013 concerning certain obligations under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘AML/CFT Act’). The paper dealt with the obligations of reporting entities that transact with other reporting entities.17 submissions were received from market participants, industry bodies, law firms and consultants. This paper details the responses.

  11. 30 June 2020

    NZX Obligations Review 2020

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2020.

  12. 29 June 2020

    Statement of Performance Expectation 2020

    The Statement of Performance Expectations (SPE) is one of two documents that set out how we measure our future performance and report on the progress of that performance against our performance targets. This is our 2020 report.

  13. 29 June 2020

    Statement of Intent 2020

    The Statement of Intent sets out how we will measure our progress against our strategic intentions in the medium term. It should be read in conjunction with the annual Statement of Performance Expectations. This is our 2020 report.

  14. 24 June 2020

    Investor Confidence Report 2020

    This annual report is intended to measure the level of confidence the New Zealand public have in the New Zealand financial markets along with perceptions and awareness of the FMA. The research is conducted by an exernal provider. This is the Investor confidence survey results published in 2020.

  15. 18 June 2020

    Auditor Regulation and Oversight Plan 2020 2023

    This report summarises our plan relating to auditor oversight, as part of our obligation under section 52 of the Auditor Regulation Act 2011. The report is for the 2020-2023 period.