Document Library

NZX Obligations Review 2024

Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2023.

Auditor Regulation and Oversight Plan 2024 2027

This document is for: Registered auditors, Accredited bodies, People who prepare financial statements for FMC reporting entities, Directors of FMC reporting entities

Exemption Notice 2024 - Financial Markets Conduct Lake Edge Resort Limited

Financial Markets Conduct (Lake Edge Resort Limited) Exemption Notice 2024

CRD What you need to know

This guide has been produced by the FMA and the External Reporting Board (XRB). It is intended for anyone interested in understanding the basics of the CRD regime.

Fair conduct programmes information for smaller firms

This information sheet provides information and examples to help smaller Financial Institutions (FIs) establish, implement and maintain their fair conduct programme.

DI standard condition consultation feedback form

Derivative Issuer (DI) standard condition consultation feedback form

Standard conditions for DI licences consultation paper

Standard Conditions for DIMS

Standard licensing conditions for DIMS providers in New Zealand, covering governance, outsourcing, records, financials, and business continuity.

Financial Advice Provider Monitoring Insights

Findings from the FMA’s supervision activities and monitoring of Class 1 and 2 licensed financial advice providers

Feedback form Exemption renewal director interests and NZCDC settlement system

Consultation paper Exemption renewal director interests and NZCDC settlement system

Have your say on the renewal of exemptions for disclosures of relevant interests by directors and senior managers, and in relation to NZCDC Settlement System activities. Submissions close 21 June 2024.