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Document Library

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

Found 1608 results. Displaying page 72 of 108

  1. 9 March 2017

    Submissions Report KiwiSaver guidance note

    This submissions report is in response to submissions on the draft KiwiSaver advice guidance note consultation, 2017.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes
    Type
    PDF

  3. 6 March 2017

    Consultation paper Disclosing non GAAP financial information

    This guidance note is primarily for FMC reporting entities and their directors. It aims to outline the FMA's expectations on the use of non-GAAP financial information.
    Tags
    Directors, Consultations, Roles, Auditors, Business
    Type
    PDF

  4. 6 March 2017

    Adviser point of retirement research report 2017

    This report summarises feedback we gathered from 10 authorised financial advisers about advice close to or at
    retirement. It also includes feedback from 104 people currently receiving advice from financial advisers. The purpose of this research was to find out if financial advice helps New Zealanders manage their retirement savings. It forms part of a wider FMA project to understand the financial help and advice people receive when they retire.
    Tags
    Reports and Papers, Investor capability, FMA, News & Insights
    Type
    PDF

  5. 3 March 2017

    Mark Warminger - Judgment

    Mark Warminger Judgment in the HIgh Court issued in the case brought about by the FMA March 2017.
    Tags
    Cases, Enforcement
    Type
    PDF

  6. 20 February 2017

    Conduct Outcomes Report 2016

    This report highlights the key issues and actions from our enforcement, supervision and preventative activities in the period 1 July 2015 to 30 June 2016.
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF

  7. 16 February 2017

    2017 Letter of Expectations

    The letter of expectation 2017 is delivered by the Minister to the FMA to formalise expectation of the FMA as a Crown entity.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  8. 15 February 2017

    New Zealand Law Society - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the New Zealand Law Society
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  9. 2 February 2017

    Submissions Report Conduct Guide consultation

    This is a summary of the submissions received by the FMA in response to the consultation of draft guide to the FMA's view of conduct, 2017.
    Tags
    Conduct, Consultations, Business
    Type
    PDF, Submission form

  10. 2 February 2017

    FMAs view of conduct guidance

    This guidance note is for: directors and executives of licensed
    financial services providers. The guide was published in 2017.
    Tags
    Financial Advice Provider, Conduct, Roles, Business
    Type
    PDF