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New Zealand Institute of Chartered Accountants (NZICA) - MOU

MOU between FMA and New Zealand Institute of Chartered Accountants (NZICA) signed on 5 October 2012.

KiwiSaver Report 2012

This report also contains the fifth annual summary of statistical returns of KiwiSaver schemes, based on the Annual Returns for the period ended 31 March 2012, lodged by each individual scheme as required by section 125 of the Act.

Exemption Notice (No 3) 2012 - Securities Act (Fonterra Co-operative Group Limited)

Securities Act (Fonterra Co-operative Group Limited) Exemption Notice (No 3) 2012

Pre-prospectus publicity - some practical guidance for issuers and their advisers

This guidance note is intended for issuers of securities, their directors and advisers. It sets out the Financial Markets Authority’s (FMA) view on the boundaries of pre-regulated offer publicity/advertising (also commonly referred to as ‘pre-prospectus publicity’), as required by the Securities Act 1978 (Act) and FMA’s policy on the scope of pre-prospectus publicity it will support by exemption.

Notice of market registration - Fonterra Shareholders' Market

NZX is granted a market registration for the Fonterra Shareholders' Market, this notice comes into force on 30 Aug 2012.

MOU between Australian Securities and Investments Commission and FMA

MOU between Australian Securities and Investments Commission and FMA in relation to assistance and mutual cooperation.

KA Trustees and Hanover Finance - Court of Appeal Judgment

Court of Appeal Judgment issued in favour of the FMA in the case against KA Trustees and Hanover Finance.

Expense Disclosure CE jan jun 2012

CE expense disclosure for the period 1 January 2012 - 30 June 2012.

Exemption Notice 2012 - Millennium Capital Management NZ Futures Contracts

Millennium Capital Management NZ Futures Contracts Exemption Notice 2012

AML/CFT Countries assessment guideline

This guideline is designed to help you decide when you need to undertake this assessment, and how you could go about it. It provides information only and cannot be relied on as evidence of complying with the requirements of the AML/CFT Act.

NZX Obligations Review 2012

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 2012.

Exemption Notice 2012 - Securities Act ProCare Health Limited

Securities Act ProCare Health Limited Exemption Notice 2012

KiwiSaver sale and distribution guidance

This guidance note provides guidance on the FMAs expectations for the sale of KiwiSaver schemes within the requirements and spirit of the Financial Advisers Act 2008 (the Act). This guidance focuses on factors FMA will take into account when considering whether advice is given, and if so, whether the advice is categorised as a class or personalised service.

Licence Application Guide - overseas Auditors and Audit Firm registrations

Guide for overseas auditors and firms on applying for audit registration authorisation and standard auditor licences with the FMA.

Exemption Notice 2012 - Futures Contracts (Asia-Pacific Risk Management Limited)

Futures Contracts (Asia-Pacific Risk Management Limited) Exemption Notice 2012

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