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During 2016 the International Monetary Fund (IMF) undertook a review of the New Zealand financial sector. The Financial Stability Assessment Programme report recommended that the FMA ”continue to engage with Supervisors to ensure that they take a consistent approach to their supervision of Managed Investment Scheme (MIS) managers”
This guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information. It sets out what ‘default’ means, when licensees must comply with the standard and guidelines on how to publish fair, clear and transparent information.
FMA has an obligation to publish an auditor regulation and oversight plan by 30 June each year, for a three year period, setting out our intentions for the regulation and oversight of auditors under the Act. This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. It may also be of interest to issuers, investors and their advisers.
Financial Markets Conduct (Obsidian Contributory Mortgage Scheme) Exemption Notice 2018
The information sheet is for entities holding or applying for a licence under the Financial Markets Conduct Act 2013, and anyone involved in the creation, implementation and ongoing operation of a compliance assurance programme.
Financial Markets Conduct (SuperLife Workspace Savings Scheme) Exemption Notice 2018
This consultation paper is for those who issue and offer listed financial products, investors, legal advisers, and other interested parties. It seeks feedback on a proposed exemption for same class offers of ASX/NZX-quoted financial products.
2018 Annual letter of expectations issued by the Minister to the FMA.
This review examines the soft commission structures in place for life and health insurance products and how advisers respond to these incentives. This work forms part of a range of regulatory activities examining conflicted conduct in the insurance sector.
This document summarises the key matters and changes we’ve made to our Guidance Note: Improving financial information in an equity PDS following consultation.
This guidance is to assist issuers and their professional advisers in understanding the FMA’s expectations on certain aspects of the financial information section.
Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice 2018.
Financial Markets Conduct (Capital Mortgage Income Trust Group Investment Fund) Exemption Notice 2018
This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).