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A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1606 results. Displaying page 34 of 108

  3. 3 June 2021

    Statement of Intent 2014

    Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2014 report.
    Tags
    Type
    PDF, Statement of intent, Corporate publications

  6. 21 May 2021

    Costs of FADC case - OIA request

    OIA response, dated 21 May 2021, costs incurred from investigation commencement to completion by FMA and FADC relating to FADC case reference FADC 010
    Tags
    Type
    PDF, OIA

  7. 17 May 2021

    Negative Interest Rate report 2021

    This report is for FMA-licensed entities and their key stakeholders. It gives feedback on key findings of the FMA’s September 2020 survey on industry readiness for negative interest rates.
    Tags
    Monitoring, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  8. 10 May 2021

    Steven Robertson - Appeal Judgment

    Supreme Court Judgment in the application of appeal by Steven Robertson, 10 May 2021.
    Tags
    Court decision, Enforcement
    Type
    PDF

  9. 30 April 2021

    CoFR Consumer Vulnerability Framework April 2021

    Members of the Council of Financial Regulators (CoFR)1 have agreed on a common understanding of the characteristics of a vulnerable consumer. We are presenting this as a framework to help industry in developing their own approaches to assisting vulnerable consumers. This framework is non-binding and serves as a guideline only. We
    would anticipate firms to consult widely in developing their own terminology, procedures, and processes for assisting vulnerable consumers. These should focus on the evolving needs of the consumers they serve, should be appropriate for their business and in accordance with any specific
    legislative requirements.
    Tags
    Financial Advice Provider, Banking, Regulation, Roles, Council of financial regulators (CoFR), Business, FMA
    Type
    PDF

  10. 30 April 2021

    OIA KiwiSaver FUM Funds

    Kiwisaver FUM forecasts/projections OIA response, dated 30 April 2021
    Tags
    Type
    PDF, OIA

  14. 13 April 2021

    Managed fund fees and value for money - guidance

    Guidance and principles to help managers and supervisors of KiwiSaver schemes and other managed investment schemes to demonstrate how they are meeting their existing obligations, statutory duties, and conduct expectations in respect of fees and value for money. Published in April 2021.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Guidance

  15. 13 April 2021

    KiwiSaver performance fees guidance note

    This guidance note updated in 2021 is intended for the managers and supervisors of KiwiSaver schemes. It sets out the criteria against which the Financial Markets Authority (FMA) will assess the reasonableness of performance fees.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Guidance