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1. 13 November 2013

   Consultation licensing independent trustees

   Consultation: Draft minimum standards and licence conditions for independent trustees of restricted schemes.

2. 13 November 2013

   Consultation licensing DIMS providers

   Consultation: Draft minimum standards and licence conditions for Discretionary Investment Management Service (DIMS) providers.

3. 13 November 2013

   Consultation licensing derivatives issuers

   Consultation: Draft minimum standards and licence conditions for derivative issuers.

4. 13 November 2013

   Consultation licensing MIS

   Consultation: Draft minimum standards and licence conditions for managers of non-restricted and registered Managed Investment Schemes (MIS).

5. 12 November 2013

   Consultation licensing peer to peer lending

   Consultation: Draft minimum standards and licence conditions for peer-to-peer lending service providers (P2P).

6. 8 November 2013

   Exemption Notice - Financial Reporting Act (OnePath Custodians Pty Limited)

   Financial Reporting Act (OnePath Custodians Pty Limited) Exemption Notice 2013

7. 8 November 2013

   NZX Participant Rules - Approval of market rules notice 2013

   This notices comes into force on 11 Nov 2013. This notice allows for NZX to replace the NZX Participant Rules dated 24 Aug 2012 with the NZX Participant Rules dated 8 Nov 2013

8. 1 November 2013

   A Guide to the Financial Markets Conduct Act 2013 Reforms

   This Guide explains the purposes of the Financial Markets Conduct (FMC) Act 2013 and how it fits in with other financial markets reforms. There is also a big picture view of the main reforms included in the FMC Act.

9. 30 October 2013

   Main board/debt market listing rules - Approval of market rules notice 2013

   This notice allows for NZX to replace the NZSX/NZDX listing rules dated 5 Oct 2012 with the board/debt market listing rules dated 30 Oct 2013

10. 1 October 2013

    KiwiSaver Report 2013

    The report details the principal matters transacted under the Act during the year ended 30 June 2013, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.

11. 30 September 2013

    Monitoring of non-GAAP disclosures response to guidance note

    In this review we assessed the market’s response to the guidance note to gain an early indication of whether disclosures around non-GAAP (generally accepted accounting principles) financial information are improving.

12. 30 August 2013

    NZ Council of Victim Support Groups - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and New Zealand Council of Victim Support Groups

13. 1 August 2013

    AML/CFT - wire transfers fact sheet

    The Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) contains a set of obligations for reporting entities to enhance the transparency of wire transfers. Wire transfers have been assessed in the National Risk Assessment as presenting a high risk of money laundering in New Zealand, which is consistent with experience overseas.

14. 1 August 2013

    Consultation feedback Practical implications of Factsheet on Managing Intermediaries

    Consultation feedback from DLA Phillips Fox: Practical implications of Factsheet on Managing Intermediaries feedback

15. 1 August 2013

    Guardian Trust submission

    Submission made on behalf of The New Zealand Guardian Trust Company Limited in response to the consultation paper 'Practical Implications of Reporting Entitie transacting with other Reporting Entities and the Factsheet.