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Document Library

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

Found 1606 results. Displaying page 24 of 108

  1. 30 June 2022

    30 June 2022 Disclose Register KiwiSaver fund updates

    This document is the Disclose Register for KiwiSaver fund updates for period ending 30 June 2022
    Tags
    KiwiSaver providers, Managed investment schemes, Roles, Disclose register, Business
    Type
    Spreadsheet

  3. 28 June 2022

    NZX Obligations Review 2022

    Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2021.
    Tags
    Offer disclosure for equity and debt offers, Market operator, Roles, Business
    Type
    PDF

  5. 23 June 2022

    Cyber Security and Operational Systems Resilience

    This information sheet assists market services licensees (excluding benchmark administrators) licensed under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) to enhance the resilience of their cyber and operational systems. While this information sheet is designed to apply to a broad range of sectors, entities with complex cyber security and operational systems should consider the specific technology requirements and obligations that apply to their sector.
    Tags
    Auditors, Roles, Financial market infrastructures, Financial Adviser, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Derivative Issuer, Directors, Cryptocurrencies, Crowdfunding providers, Client money or property services provider, Authorised body under a FAP, Business, Interposed persons under new financial advice regime, Managed investment schemes, Market operator, Peer-to-peer lending service providers
    Type
    Guidance, PDF

  7. 16 June 2022

    Investor Confidence Report 2022

    The Investor confidence Research report 2022 measures attitudes towards and investment in New Zealand’s financial markets.
    Tags
    Reports and Papers, News & Insights
    Type
    PDF, Surveys

  9. 14 June 2022

    Cigna and OnePath Life - Enforceable Undertaking

    OnePath Life (NZ) Limited and Cigna Life Insurance New Zealand Limited will jointly pay $180,000 to the FMA after admitting liability for breaching the fair dealing provisions of the Financial Markets Conduct Act 2013 (FMCA). 14 June 2022
    Tags
    Enforceable Undertaking, Enforcement
    Type
    PDF

  10. 1 June 2022

    Exemption Notice - Haleon plc

    The Financial Markets Conduct (Haleon plc) Exemption Notice 2022 exempts GlaxoSmithKline plc (GSK) and Haleon plc (Haleon) from the obligations in Part 3 (Disclosure of offers of financial products) of the Financial Markets Conduct Act 2013.
    Tags
    Exemptions, Business
    Type
    PDF, Financial Markets Conduct Act exemptions, Current, Exemption notice

  12. 30 May 2022

    Exemption Notice - Stride Property Group

    The Financial Markets Conduct (Stride Property Group) Exemption Notice 2022 allows Stride Property Limited (SPL) and Stride Investment Management Limited Stride (SIML), as stapled entities (Stride Property Group), to prepare consolidated financial statements for the purposes of subpart 3 of Part 7 of the Financial Markets Conduct Act 2013 (the Act).
    Tags
    Exemptions, Business
    Type
    PDF

  13. 25 May 2022

    KiwiSaver annual statements methodology notice 2022

    The methodology notice will help KiwiSaver providers attribute fees charged at the fund level (including underlying fund charges) to each investor.
    Tags
    KiwiSaver providers, Managed investment schemes, Roles, Business
    Type
    PDF, Guidance

  14. 18 May 2022

    Value for Money Industry Report

    FMA and Supervisor report for Managed Investment Scheme Managers and KiwiSaver Managers that covers FMA and Supervisor findings from the Value for Money implementation pilot.
    Tags
    Reports and Papers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF

  15. 9 May 2022

    NZX Listing Rule change 2022

    NZX listing rule change 2022 for anyone who is listing on the stock exchange.
    Tags
    Market operator, Roles, Business
    Type
    PDF, Notice