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1. 7 June 2018

   Auditor regulation and oversight plan 2018-2021

   FMA has an obligation to publish an auditor regulation and oversight plan by 30 June each year, for a three year period, setting out our intentions for the regulation and oversight of auditors under the Act. This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. It may also be of interest to issuers, investors and their advisers.

2. 6 June 2018

   Exemption Notice - Obsidian Contributory Mortgage Scheme

   Financial Markets Conduct (Obsidian Contributory Mortgage Scheme) Exemption Notice 2018

3. 1 June 2018

   Statement of Performance Expectations 2017 to 2018

4. 30 May 2018

   Compliance assurance programmes information sheet

   The information sheet is for entities holding or applying for a licence under the Financial Markets Conduct Act 2013, and anyone involved in the creation, implementation and ongoing operation of a compliance assurance programme.

5. 25 May 2018

   Exemption notice - SuperLife Workplace Savings Scheme

   Financial Markets Conduct (SuperLife Workspace Savings Scheme) Exemption Notice 2018

6. 23 May 2018

   Consultation Same Class Offers ASX NZX Exemption Notice 2018

   This consultation paper is for those who issue and offer listed financial products, investors, legal advisers, and other interested parties. It seeks feedback on a proposed exemption for same class offers of ASX/NZX-quoted financial products.

7. 22 May 2018

   2018/2019 Annual letter of Expectations

   2018 Annual letter of expectations issued by the Minister to the FMA.

8. 16 May 2018

   Conflicted remuneration (soft commissions) in the life and health insurance industry

   This review examines the soft commission structures in place for life and health insurance products and how advisers respond to these incentives. This work forms part of a range of regulatory activities examining conflicted conduct in the insurance sector.

9. 15 May 2018

   Consultation Improving financial information in an equity PDS response to submissions

   This document summarises the key matters and changes we’ve made to our Guidance Note: Improving financial information in an equity PDS following consultation.

10. 15 May 2018

    Improving financial information in an Equity PDS - guidance

    This guidance is to assist issuers and their professional advisers in understanding the FMA’s expectations on certain aspects of the financial information section.

11. 14 May 2018

    Exemption notice - Financial Advisers Personalised Digital Advice Notice 2018

    Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice 2018.

12. 3 May 2018

    Exemption notice - Financial Markets Conduct Capital Mortgage Income Trust Group Investment Fund

    Financial Markets Conduct (Capital Mortgage Income Trust Group Investment Fund) Exemption Notice 2018

13. 1 May 2018

    AML/CFT Risk Assessment Guideline

    This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).

14. 1 May 2018

    AML/CFT Risk Assessment Guideline

    This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).

15. 1 May 2018

    Investor Confidence Report 2018

    The FMA commissioned Buzz Channel to measure New Zealanders’ attitudes towards and confidence in New Zealand’s financial markets. This is the 2019 survey report.