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This Statement of Intent further develops our strategic direction for the coming four years from July 2015 to June 2019 and has been prepared in accordance with Part 4 of the Crown Entities Act 2004. It should be read in conjunction with the Statement of Performance Expectations for each year. This report was published in 2015.
The Investor confidence Research report 2015 measures attitudes towards and investment in New Zealand’s financial markets. The research was carried out online using Colmar Brunton’s omnibus.
Financial Markets Conduct Sovereign Services Limited Exemption Notice 2015
Offers of contributory mortgages made by contributory mortgage brokers who are not lawyers are regulated under the Securities Act (Contributory Mortgage) Regulations 1988 (Regulations). The Regulations exempt brokers from certain disclosure and governance requirements, under the Securities Act 1978.
From 1 December 2016 all new offers of contributory mortgages must be made under the FMC Act.
Judgment in the High Court in the case between Commerce Commission and ANZ Bank New Zealand Limited, 28 May 2015.
Settlement agreement with Pacific Edge Limited (PEB), May 2015.
This information sheet outlines the process for getting a certificate from the FMA to apply for registration of a new KiwiSaver, superannuation or workplace savings scheme.
Financial Markets Conduct (The Warehouse Group Limited) Exemption Notice 2015
FMA consultation on potential exemptions to investor warnings and acknowledgements under the $750K wholesale investor exclusion in NZ markets.
Securities Act (NZX Limited) Exemption Notice 2015
Settlement Agreement with the Directors' of Hanover Finance Ltd (HFL), United Finance Ltd (UFL) and Hanover Capital Limited (HCL), 28 April 2015.
FMA responses to feedback on a proposed suitability condition for derivatives issuers, addressing investor understanding, compliance scope, and clarity.
Financial Reporting Act (Deutsche Bank Aktiengesellschaft) Exemption Notice 2015
FMA consults on tiered exemptions from financial reporting for small and medium DIMS providers to reduce costs while maintaining oversight.