Document Library

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

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Institute of Directors - Directors guide

FMA & IoD guide offers NZ directors key legal duties, governance tips, and risk insights to navigate boardroom responsibilities.

2015 Letter from the Minister

Annual letter from the Minister 2015.

Response to submissions Consultation paper Personalised DIMS.1

Summarises FMA responses to industry feedback on proposed Personalised DIMS standards for AFAs under the Financial Advisers Act 2008.

Consultation Personalised DIMS response to submissions [unused]

FMA response to feedback on proposed eligibility and standards for AFAs offering Personalised DIMS under the Financial Advisers Act 2008.

Exemption Notice - Securities Act Heartland Bank Regulatory Capital

Securities Act Exemption Notice 2014: Heartland Bank Regulatory Capital.

Accredited Bodies Report NZICA 2014

Accredited Body Report – New Zealand Institute of Chartered Accountants For the period ended 30 June 2014

Banking Ombudsman Scheme Limited - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Banking Ombudsman Scheme Limited

ANZ Bank New Zealand Limited - Settlement Agreement

Settlement Agreement with ANZ Bank New Zealand Limited regarding interest rate swaps sales to certain rural customers, 3 December 2014.

Commerce Commission v ANZ - Settlement Agreement

Settlement Agreement made with New Zealand Commerce Commission by ANZ Bank New Zealand Limited following an investigation into interest rate swaps transactions with rural customers between 2005 and 2009. 3 December 2014.

Consultation Fund update template and guidance for calculating risk indicators

FMA consultation on a fund update template and risk indicator guidance to enhance disclosure and comparability for NZ managed funds.

Information Sheet Debt offers one off

Overview of timeline for debt offers transitioning to the FMC Act.

Corporate Governance in New Zealand - Principles and Guidelines

This handbook is intended as a reference for directors, executives and advisers to decide how best to apply the principles to their particular entity.

Transition to fmc act other types mis information sheet

Timeline for other types of MIS to transition to the FMC Act. Other types of MIS includes a range of schemes, often tightly focused – eg property and forestry schemes. Note, excludes property and forestry schemes structured as companies (who generallyare classed as equity issuers).

Transition to fmc act superannuation mis information sheet

Timeline for MIS Superannuation schemes to transition to the FMC Act.

Transition to FMC Act KiwiSaver MIS Information Sheet

Timeline of MIS to transition to FMC Act.

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