Document Library

Expense disclosure CE 2013 jan jun

CE expenses disclosure for the period 1 January 2013 - 3 June 2013

Expense disclosure CE travel 2013 jan jun

CE expenses disclosure for the period 1 January 2013 - 30 June 2013

Expense disclosure CE Travel 2015 Jan Jun

CE expenses disclosure for the period 1 January 2015 - 30 June 2013

consultation paper charitable and religious purposes exemption review

In this paper we seek submissions on proposals relating to the review the Financial Markets Authority (FMA) is undertaking on the Securities Act (Charitable and Religious Purposes) Exemption Notice 2003 (SR 2003/66) (the CRP Notice), which is due to expire on 30 November 2013. FMA is reviewing the CRP Notice simultaneously with the Reserve Bank of New Zealand’s review of the appropriate treatment of charitable and religious organisations under the Non-bank Deposit Takers regime.

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.

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.

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.

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).

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.

2013 Annual letter of expectations

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

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.

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