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Document Library

A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1758 results. Displaying page 1 of 118

  1. 21 May 2025

    FMC (Helios Energy) Exemption Notice 2025

    The Financial Markets Conduct (Helios Energy) Exemption Notice 2025 (the Notice) exempts Helios Energy Hold LP (Helios) from compliance with the disclosure and governance requirements of Parts 3 and 4 of the Financial Markets Conduct Act 2013 (Act), in respect of offers of limited partnership interests in Helios (including options to acquire those partnership interests) (interests), made under Helios’ staff incentive scheme (scheme) to certain employees, contractors and other eligible persons.

  2. 16 May 2025

    AMLCFT Audit Guideline

    This guidance is to help reporting entities understand the AML/CFT audit (“audit”) requirements in terms of the AntiMoney Laundering and Countering Financing of Terrorism Act 2009 and undertake an effective and credible audit of their risk assessment and AML/CFT programme.

  7. 6 May 2025

    DIMS limit breaks under the FMC Act

    This information sheet outlines the obligations of Discretionary Investment Management Services (DIMS) providers under the Financial Markets Conduct Act 2013 (FMC Act) relating to investment authority limits and reporting breaches of those limits.

  8. 2 May 2025

    FMA v Westpac - Judgment

    Westpac is to pay a penalty of $3.25 million for misleading customers entitled to advertised discounts as well as overcharging some of its business customers.

  9. 1 May 2025

    2025 26 Letter of expectations

    The Minister of Finance outlines the Government’s expectations for the Financial Markets Authority (FMA) in 2025/26, including priorities for regulatory focus, accountability, and strategic outcomes.

  10. 1 May 2025

    FMA v Cheng Judgment

    Read the full High Court judgment in the case of FMA v Cheng, outlining findings and penalties related to market manipulation and breaches of financial markets law in New Zealand.

  12. 29 April 2025

    Consumer Confidence Factsheet April 2025

    Consumer Confidence Survey aims of gaining a better understanding of New Zealanders’ experiences with financial markets including investments, insurance, KiwiSaver, and financial markets regulation.