Document Library

Exemption notice - SuperLife Workplace Savings Scheme

Financial Markets Conduct (SuperLife Workspace Savings Scheme) Exemption Notice 2018

Consultation Same Class Offers ASX NZX Exemption Notice 2018

This consultation paper is for those who issue and offer listed financial products, investors, legal advisers, and other interested parties. It seeks feedback on a proposed exemption for same class offers of ASX/NZX-quoted financial products.

2018/2019 Annual letter of Expectations

2018 Annual letter of expectations issued by the Minister to the FMA.

Conflicted remuneration (soft commissions) in the life and health insurance industry

This review examines the soft commission structures in place for life and health insurance products and how advisers respond to these incentives. This work forms part of a range of regulatory activities examining conflicted conduct in the insurance sector.

Consultation Improving financial information in an equity PDS response to submissions

This document summarises the key matters and changes we’ve made to our Guidance Note: Improving financial information in an equity PDS following consultation.

Improving financial information in an Equity PDS - guidance

This guidance is to assist issuers and their professional advisers in understanding the FMA’s expectations on certain aspects of the financial information section.

Exemption notice - Financial Advisers Personalised Digital Advice Notice 2018

Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice 2018.

Exemption notice - Financial Markets Conduct Capital Mortgage Income Trust Group Investment Fund

Financial Markets Conduct (Capital Mortgage Income Trust Group Investment Fund) Exemption Notice 2018

AML/CFT Risk Assessment Guideline

This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).

AML/CFT Risk Assessment Guideline

This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).

Investor Confidence Report 2018

The FMA commissioned Buzz Channel to measure New Zealanders’ attitudes towards and confidence in New Zealand’s financial markets. This is the 2019 survey report.