Document Library

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

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Found 1767 results. Displaying page 19 of 118

27 March 2024

Exemption Notice Silverwood Land 2015 Limited Partnership 2024

The scheme has some remaining real estate assets that it seeks to sell. The scheme is the subject of the Financial Markets Conduct (Silverwood Land 2015 Limited Partnership) Exemption Notice 2021, which is revoked on the close of 31 March 2024.
25 March 2024

EU Peter Harris signed redacted

Executive Undertaking for Corporation Limited (In Liquidation) (CBLC) managing director Peter Harris
19 March 2024

Licensing application guide - Managed Investment Schemes (MIS) PART B3

FMA Part B3 guide for MIS managers applying for a licence under the FMC Act, outlining questions, standards, and MIS-specific criteria.
19 March 2024

Licensing application guide - Peer to peer licensing guide PART B2

FMA Part B2 guide for peer-to-peer lending licence applications under the FMC Act, covering key standards and application details.
19 March 2024

Licensing application guide - Independent trustee PART B6

FMA Part B6 guide for individuals applying to be licensed independent trustees under the FMC Act, covering criteria and requirements.
19 March 2024

Licensing application guide - DIMS Provider PART B4

FMA Part B4 guide for DIMS providers on licence application, detailing tailored standards, questions, and supporting requirements.
19 March 2024

Licensing application guide - Crowd funding PART B1

FMA Part B1 guide for crowd funding licence applications under the FMC Act, with tailored questions, standards, and documentation.
19 March 2024

Licensing application guide - Derivatives issuers PART B5

FMA Part B5 guide for derivatives issuers on applying for a market service licence under the FMC Act, with criteria and application steps.
19 March 2024

Declaration form - senior managers DIR11 variation

FMA declaration form for notifying director or senior manager changes under the Financial Markets Supervisors Act 2011.
27 February 2024

Monitoring of licensed Financial Advice Providers information sheet

The Monitoring of licensed Financial Advice Provider (FAP) information sheet explains how we carry out monitoring activities, what we expect of you, and what you can expect from us.
27 February 2024

Application guide for overseas auditors including Australian auditors and audit firms

This document is for overseas and Australian auditors seeking FMA licensing or registration to conduct FMC audits under NZ financial law.
26 February 2024

Financial Markets Conduct Climate related Disclosures Commonwealth Bank of Australia New Zealand Exemption Notice 2024

Financial Markets Conduct (Climate-related Disclosures – Commonwealth Bank of Australia New Zealand) Exemption Notice 2024
26 February 2024

Declaration form - senior managers DIR11

FMA statutory declaration form for directors and senior managers, detailing personal, professional, and character history requirements.
23 February 2024

Climate related disclosure levies

Get details on FMA climate-related disclosure levies, waiver eligibility, application steps, and fees for NZ financial entities.
19 February 2024

Licensing Application Guide - Financial Services PART A

FMA Part A guide explains the application process for financial service licences under the FMC Act, including requirements and steps.