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Application Form - Supervisors Licence TRU1.1

FMA TRU1.1 form for applying or renewing a supervisors licence covering debt securities, registered schemes, or retirement villages.

Ease of Doing Business Stakeholder research 2021

The FMA’s “Ease of doing business survey 2021” is a piece of research from a sample of our regulated populations and the stakeholders we deal with. This research helps us to better understand the impact that our work has on market participants and stakeholders. It informs the way we work and our focus on continuous improvement in our effectiveness and efficiency.

FMA Annual Report 2021

Our annual reports detail the results we have achieved against our stated intentions. These results then feedback into our next cycle of direction-setting, planning, implementation and review. Our annual reports are a great way to review our operational highlights for each financial year. This is the 2021 report.

NZX Participant Rules 2017

FMA notice approving NZX Participant Rules 2017 under the FMC Act, effective from 25 August 2017, covering NZX and derivatives markets.

31 December 2021 Disclose Register MIS fund updates

Disclose MIS Manager fund updates for 31 December 2021

31 December 2021 Disclose Register KiwiSaver fund update

Medical Kiwi Limited - Enforceable Undertaking

Medical Kiwi made misleading statements in its August 2020 PledgeMe share offer; related undertakings accepted by FMA.

Customer care managing conflicts of interest self assessment tool

Fonterra Shareholders' Market Listing Rules - Approval of Change Notice 2021

The amendments to the FSM Listing Rules are generally consequential on external factors relating to Fonterra, and include the following: FSM Listing Rule 1.8.2, Rules 1.8.2(c), 1.8.4(a) and 6.1.2(a)(ix) and (x) and the Glossary, and, FSM Listing Rule 6.1.2 are amended

Insurance and Financial Services Ombudsman Scheme - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Financial Services Ombudsman Scheme

Financial Services Complaints Limited - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Financial Services Complaints Limited

Squirrel P2P Trustee Limited - Public Warning

FMA warns Squirrel P2P Trustee for failing to obtain required assurance engagements for its custodial service from 2016 to 2020 under FA Regulations.

FMA Annual Report 2021 - preview

Preview of the FMA Annual Report 2021.

Outsourcing CDD to a third party provider Reminder to FMA and DIA reporting entities

While third-party providers can provide a useful service, both the DIA and FMA are aware of an increasing number of reporting entities taking a view that the third-party provider “just takes care of it all” and that all CDD requirements are then met. This is not the case. Read more about outsourcing your CDD requirments.

AML/CFT Sector Risk Assessment 2021

Our Sector Risk Assessment (SRA) helps us and the Reporting Entities we supervise understand the risks of money-laundering (ML) and terrorism financing (TF) in each sector. This SRA replaces our SRA published in 2017.

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