Document Library

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

Keywords

Date Published

Sort by:

Wynyard Group - NZICA decision on appeal

NZICA has released its disciplinary decisions arising from the 2015 PwC audit of the formerly NZX-listed Wynyard Group.

SGX DT Obligations Review 2022

This report covers the FMA’s review of SGX-DT for the period 14 September 2021 (the commencement date of SGX-DT’s licence) to 30 June 2022.

ASX 24 Obligations Review 2022

This review covers the period 1 July 2020 to 30 June 2022 and is our fourth review of ASX 24 since its licence came into effect on 1 December 2014.

FMA cases prosecuted - OIA request

OIA request for information on FMA cases prosecuted

UK recruitment trip - OIA request

OIA response to request for information surrounding the UK recruitment trip 2022

Value for Money discussion document - OIA response

OIA response: Request for Value for Money discussion document

Pencarrow Private Equity Management Limited - Formal Warning

FMA formally warns Pencarrow Private Equity for AML/CFT record-keeping breaches tied to Fund V investments, April–July 2018.

GST modelling on GST changes - OIA request

FMA response to OIA request modelling relating to changes to GST treatment of investment management fees

Kiwisaver funds that move the market - OIA request

Our response to a OIA request relating to Kiwisaver funds moving the market

Trading financial derivates policy - OIA request

OIA response to a request for information on policy on trading financial derivatives

Bullying and harassment statistics - OIA request

OIA response to a request for FMA statistics on bullying and harassment

Exemption notice - Financial Markets Conduct Small Co operatives

This notice provides co-operative companies and industrial and provident societies with a lighter regulatory compliance pathway.

Disclose Register MIS fund updates for 30 June 2022

MIS fund update for 30 June 2022.

Accredited Body Report - NZICA 2022

Findings from the FMA’s review of the adequacy and effectiveness of NZICA’s audit regulatory systems for the period 1 July 2021 to 30 June 2022.

Accredited Body Report - CPA Australia 2022

Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2021 to 30 June 2022

Looking for information?

Document Library