Your request should be as clear and specific as you can possibly make it. Before making a request to us, please check the OIA publication schedule first as the information you are looking for could already be publicly available.
You can contact us in the ways noted below to request information:
Email: [email protected]
Post: Financial Markets Authority, PO Box 106 672, Auckland 1143, New Zealand
Telephone: 0800 434 566.
When you make your request please include the following details:
If you make a request by phone, we will confirm acknowledgement in writing or if we need to clarify anything, we may ask you to send your request in writing.
Your request will be acknowledged as soon as possible. We will respond to your request within 20 working days from the date we received it. The OIA allows for extensions in certain circumstances. If we require an extension we will contact you to let you know.
Note: Good Friday, Easter Monday, Anzac Day, Queen’s Birthday, Waitangi Day, Labour Day, and any day from 25 December to 15 January inclusive are not working days for the purposes of the Official Information Act, so will not be included within the 20 working day timeframe.
We may invoice you for the costs of responding to your information request. Charges are for staff time and resources if your request requires considerable labour and materials or requires significant collation and research. These charges are set by the Government and are applied in line with the Ombudsman's charging guide.
We may decide to withhold the information for specific reasons. If this occurs, we will explain the reasons why. For more on why information can be withheld see sections 6, 9 and 18 of the OIA.
Reasons we are sometimes unable to disclose information include our obligations to protect personal privacy under the Privacy Act 2020, and our duty under the Financial Markets Authority Act 2011 (FMA Act) to maintain confidentiality about information supplied or disclosed to, or obtained by, us under the FMA Act and financial markets legislation.
The OIA schedule below summaries how we have responded to the requests we have recieved and whether we have disclosed information.
If you are unhappy with our response, you can make a complaint and have the decision reviewed by the Ombudsman.
The Ombudsman provides a useful guide with tips about how to make an OIA request. It also includes information on the Official Information Act, and what agencies must do when they respond to a request.
We may decide to publish some or all of the information that we disclose in response to an OIA request. You can view the information we've published on the OIA publication schedule below.
The types of information request we would publish are those from news media organisations, businesses (where the requested information benefits other businesses) or individuals and from parliamentary parties.
Exceptions to publication
We won’t publish:
We reserve the right to decide which responses we will publish and why.
We may redact information or provide a summary or excerpt where appropriate.
Each quarter we publish our OIA statistics in the table below, setting out the number of requests we receive and our decision in relation to requests.
|Period||Number of requests received||Percentage responded within
Released in full: 10
Released in full: 10
Released in full: 9
|2018/2019||38||100%||Released in full: 25
Released in part: 7
Transferred (full): 2
|2017/2018||28||100%||Released in full: 8
Released in part: 6
Transferred in part: 1
|2016/2017||32||96%||Released in full: 12
Released in part: 6
The information published on the OIA publication schedule was released in response to a specific request and was the information held by the FMA at the time of response.
|OIA publication schedule|
|No.||Summary of request||Response||Date of response||Information|
|46||Request asking if the FMA investigated short selling of industry shares impacted by Covid||Released||23/09/2021||OIAP Short selling of shares|
|45||Request regarding a submission to Law Commission review into class actions and litigation funding||Released||13/09/2021||OIAP Law Commission submission|
|44||Request for statistics relating to referrals to the FMA under the FSP Act||Released||16/08/2021||OIAP Referrals to FMA under FSP Act|
|43||Requesting information of the sum of AML/CFT enforcement action taken by the FMA||Released||27/07/2021||OIAP AML/CFT enforcement acton|
|42||Request for the FMA’s current organisation chart||Released||20/08/2021||OIAP FMA’s organisation charts|
|41||A request for statistics relating to insider trading misconduct||Released||15/10/2021||OIAP Insider trading misconduct statistics|
|40||Request to assist in market research on the number of people in NZ working in the Financial Market of any description||Released||26/5/2021||OIAP Market research|
|39||Request from journalist in relation to costs incurred in an FMA/FADC case||Released||24/5/2021||OIAP Costs of FADC case|
|38||Request for recent KiwiSaver FUM (Funds under Management) forecast/projects||Declined||30/4/2021||OIAP KiwiSaver FUM Funds|
|37||Request from journalist for number of FMA cases, investigations and court cases, and reasons for decision whether or not to take cases further ie prosecute.||Partial: withheld some to protect maintenance of the law, legal privilege and free and frank opinions.||12/11/2020||OIAP Cases, investigations and court cases|
|36||Request for the total number of private AML/CFT warnings the FMA has issued||Released in full||15/10/2020||OIAP AML/CFT Private Warnings|
|35||Request from journalist in relation time spent on CBL Limited proceedings.||Released||20/07/2020||OIAP CBL Limited proceedings|
|34||Stats on Reporting Entities: # of requests by the FMA for Res to undergo an AML/CFT audit. The documents which identify the general business nature of those REs, deadline for response, and documents that contain FMA's policies, principles, rules and guidelines to determine the deadlines for response.||Released||05/02/2020||OIAP Reporting Entities|
|33||Following the release of the FMA Bank Culture and Conduct Report, a union asked for information about the implementation plans of the 11 banks, evidence the plans were implemented, and actions FMA would take if the plans were not adhered to.||Withheld||18/12/2019||OIAP First Union|
|32||Request from an individual for information on FMA’s participation in the October 2019 ACAMS conference.||Released||22/10/2019||OIAP ACAMS|
Request from an individual for conduct and culture reviews.
|Released: link to FMA website||27/09/2019||OIAP Conduct and Culture Review|
|30||Request for information about the FMA's use of psychometric testing between 1 July 2017 and 31 June 2019 and if used, the types of occasions used for and the associated costs||Released||04/10/2019||OIAP FMA's psychometric testing|
|29||Request for documents supporting the update to the 2013 Identity Verification Code of Practice||Refused: information does not exist||01/08/2019||OIAP Identity verification code of practice|
|28||Media request for details of the FMA’s investigation into interest rate swaps to rural customers between 2005 and 2009||Part released: some information withheld due to privacy, confidentiality, commercial sensitivity, and free and frank exchange of opinions||01/08/2019|
|27||Media request for the details of any payments made to social media influencers||Released: some information withheld to protect the privacy of individuals||30/07/2019||OIAP payments to social media influencers|
|26||Media request for the FMA's five most expensive trials||Released||23/07/2019||OIAP FMA's five most expensive trials (July 2019)|
|25||Request for investigations/inquiries into the ANZ rural growth fund in 2012||Released||15/07/2019||OIAP investigation into the ANZ rural growth fund|
|24||Media request for instances where FMA staff have been given gifts by ANZ or its former chief executive David Hisco since 2010||Released||28/06/2019||OIAP gifts from David Hisco|
|23||Media request on the FMA’s five most expensive trials||Released; note internal employee costs are represented by employee hours||14/05/2019||OIAP FMA's five most expensive trials (May 2019)|
|22||Media request for the FMA’s parental leave policies, procedure and arrangements||Released||24/04/2019||OIAP FMA's parental leave policies|
|21||Request for data on complaints made to the FMA against financial advisers and financial product providers||Released||22/03/2019||OIAP complaints against financial advisers|
|20||Media request for the amount spent on advertising, public awareness campaigns, and recruitment in the last 5 years||Released||22/03/2019||OIAP costs of public awareness campaigns|
|19||Media request for the costs of the Bublitz first trial||Released||14/03/2019||OIAP costs for Bublitz 1st trial|
|18||Media request for the costs of the Bublitz second trial||Released||18/02/2019||OIAP costs for Bublitz 2nd trial|
|17||Request for example cases where a financial adviser invested client funds poorly and without sufficiently explaining the process to the client and according to the advisers own bias||Released||15/02/2019||OIAP Financial Advisers Disciplinary Committee (FADC) decisions|
|16||Media request for information on gifts and hospitality received by FMA staff||Part released: some information refused as information not held||15/02/2019||OIAP Gifts and Hospitality Policy and statistics|
|15||Summary of remediation provided by banks under conduct and culture review||Released||05/12/2018|
|14||Functions of the FMA and the FMA’s responsible Minister||Released||21/11/2018|
|13||FMA costs on social media||Released||18/10/2018|
|12||Litigation costs of E-road trial No 2||Released||08/10/2018||OIAP re ERoad costs 2nd trial|
|11||The FMA’s response to the State Services Commission inquiry into state sector use of external security consultants||Proactive disclosure; not an OIA||20/08/2018||FMA response to SSC inquiry|
|10||Request for information about staff working on AMLCFT matters at the FMA||Released||28/09/2018||OIAP OIA re AMLCFT staff and restructuring|
|9||Reporting entity correspondence re AMLCFT Identity Verification Code of practice||Released||23/08/2018||OIAP OIA re AMLCFT opt out follow up|
|8||Media request about change management/reorganisation at FMA||Part released: some information withheld due to privacy||14/08/2018||OIAP OIA response on FMA change management|
|7||Media survey about sexual harassment at the agencies||Released||09/07/2018||OIAP OIA survey response re workplace sexual harassment|
|6||Request about gifts and hospitality (staff/members)||Released||11/07/2018||OIAP OIA re gifts policy|
|5||Media request about OIA requests that the FMA receives||Released||19/07/2018||OIAP OIA response on FMA OIA stats|
|4||All records of communications with AML/CFT entities about opting out of the Identity Verification Code of Practice||Part released: some information withheld due to privacy, confidentiality, commercial sensitivity, free and frank exchange of opinions||26/07/2018|
|3||Copy of the FMA Board Conflicts Policy||Released||21/05/2018|
|2||Litigation costs for an e-road trial||Released||20/04/2018||OIAP response eroad trial costs|
|1||Businesses who were warned by FMA under AML/CFT legislation||Part released: some information withheld for maintenance of the law||05/04/2018|