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The Statement of Performance Expectations (SPE) is one of two documents that set out how we measure our future performance and report on the progress of that performance against our performance targets. This is our 2019 report.
Court of Appeal Judgment in the case against Paul Neville Bublitz, 4 July 2019.
Enforceable Undertaking by Westpac New Zealand Limited (WNZL) on 4 July 2019.
This is a form for completion by all AML/CFT reporting entities to the FMA that should be completed and submitted on an annual basis.
This document is the Disclose Register for KiwiSaver fund updates for 30 June 2019
This document is the Disclose Register for MIS fund updates for 30 June 2019
Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2019.
OIA response, dated 28 June 2019, regarding gifts or hospitality provided by ANZ/David Hisco
This report summarises our plan relating to auditor oversight, as part of our obligation under section 52 of the Auditor Regulation Act 2011. It includes small changes to our previous plan, but overall our focus areas remain unchanged.
ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand. The FMA is required to report, at least once every two years on how well IFUS is meeting its obligations as a licensed market operator.
ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand. The FMA is required to report, at least once every two years on how well IFUS is meeting its obligations as a licensed market operator.
Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2018.
Consultation: Proposed standard conditions for financial advice provider transitional licences
KiwiSaver Default Provider (Kiwi Wealth) Notice - fee can be changed by a default provider by introducing a maximum amount
Financial Markets Conduct (Clearwater Golf Club Limited) Exemption Notice 2019