Document Library | Financial Markets Authority

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30 September 2017 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 30 September 2017

FMA Annual Report 2017 including financials

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 2017 report with financials.

FMA Annual Report 2017 Excluding financials

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 2017 report without financials.

Short duration derivatives consultation submissions report

A summary of submissions on our consultation paper about short duration derivatives.

Exemption Amendment Notice - Financial Markets Conduct Bonus Bonds

Financial Markets Conduct Notice Exemption Amendment Notice 2017: Bonus Bonds.

Substantial product holder disclosures guidance

This guidance is for anyone who has a substantial holding in a listed issuer; Fund management firms and their employees. It aims to assist substantial product holders in understanding their obligations and help to promote consistency in disclosures.

Substantial Product Holders guidance consultation response to submissions

Response to submissions on proposed guidance on substantial product holder disclosures.

Use an FMA licensed provider - International Languages

Use an FMA licensed provider - International Languages

Anthony Wilson - sentencing notes redacted

District Court at Auckland sentencing notes in the case against Anthony Norman Wilson, 12 July 2017.

Disclosing non gaap financial information guidance

This guidance replaces our 2012 Guidance note: Disclosing non-GAAP financial information to reflect the requirements of the Financial Markets Conduct Act 2013 (FMC Act) and our findings from the review of non-GAAP financial information since 2012.

Prince Partners - Judgment

High Court Judgment in the case against Prince and Partners Trustee Company Limited, 25 August 2017.

Prince and Partners Trustee Company Ltd - Settlement Agreement

Settlement Agreement with Prince & Partners Trustee Company Limited, 25 August 2017.

Financial Markets Conduct Act - NZMDT Rules Approval of Market Rules Notice 2017

FMA approves 2017 changes to NZMDT Rules for legal appointees under the FMC Act, effective 9 August 2017, following NZX submission.

Consultation Paper Market Index

This consultation is for MIS managers, advisers, supervisors, and investors. It seeks feedback on a proposed exemption from the market index requirement.

FMA Annual Corporate Plan 2018

This Annual Corporate Plan sets out our activities for the period that will promote our strategic priorities, address regulatory risks and harms, and deliver sector outcomes.