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1. 11 July 2013

   consultation paper practical implications of reporting entities transacting with other reporting entities and the factsheet on managing intermediaries

   In this paper FMA seeks submissions on the practical implications of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘AML/CFT Act’) in situations where reporting entities are transacting with other reporting entities.

2. 1 July 2013

   FMA progress review stakeholder feedback report 2013

   This report is the result of a review conducted by Oliver Wyman focusing on stakeholder perspectives on achievements, short-comings and future priorities for New Zealand’s Financial Markets Authority. The report was published in July 2013

3. 29 June 2013

   NZX Obligations Review 2013

   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 2013.

4. 13 June 2013

   Investigations and Enforcement Report 2013

   This report highlights the key issues and themes that have emerged through FMA’s investigations and enforcement activities from July 2012 to June 2013.

5. 11 June 2013

   National Finance - Appeal Judgment

   Court of Appeal Judgment in the case against Trevor Allan Ludlow, 7 June 2013.

6. 1 June 2013

   Securities trustees and statutory supervisors monitoring guidance

   This guidance note is for licensed securities trustees and statutory supervisors. It sets out the Financial Market Authority’s (FMA) expectations of how they will carry out their monitoring functions effectively.

7. 1 June 2013

   Monitoring of KiwiSaver Offer Documents

   This 2013 report outlines to issuers, their directors and advisers, our views and observations on current market practices. In FMA’s view the principles outlined in this report are relevant to managed funds in general and not just KiwiSaver schemes.

8. 1 June 2013

   AML/CFT annual monitoring report 2013

   This document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).

9. 1 June 2013

   Auditor regulation and oversight plan 2013 2016

   Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2013-2016 period

10. 14 May 2013

    Fonterra Shareholders' Market Rules - Approval of market rules notice 2013

    The FSM Rules dated 14 May 2013 introduce the Diversity Rule. The Diversity Rule incorporates specific reporting requirements for Fonterra Co-operative Group Limited in relation to gender diversity and diversity policy.

11. 1 May 2013

    Hybrid financial instrument disclosures report 2013

    FMA reviewed the accounting classification and disclosure of financial instruments classified as hybrid instruments listed on the NZX debt market, as at 1 December 2012. This report outlines our findings and recommendations.

12. 18 March 2013

    2013 Annual letter of expectations

    Annual letter of expectation 2013 written by the Minister to the FMA.

13. 15 February 2013

    consultation paper financial advisers australian licensee notice

    The Financial Markets Authority (FMA, or we) are reviewing the Financial Advisers (Australian Licensees) Exemption Notice 2011 (Financial Advisers (Australian Licensees) notice) which expires on 30 June 2013. FMA is keen to hear the views of Australian financial service licence holders who are relying on the Financial Advisers (Australian Licensees) notice and selected stakeholders to determine whether or not to renew the exemption.

14. 1 February 2013

    FMA's Compliance Focus for 2013

    This document outlines the Financial Markets Authority’s (FMA’s) priority areas for monitoring and surveillance in 2013. It provides an opportunity for participants to assess their activities and take steps to improve behaviours and compliance controls in these areas.

15. 30 January 2013

    Expense disclosure CE 2012 jul dec

    CE travel expense disclosure for the period 1 July 2012 - 31 December 2012