Document Library

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.

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.

Consultation: Proposed standard conditions for financial advice provider transitional licences

Financial Markets Conduct (Clearwater Golf Club Limited) Exemption Notice 2019

OIA response, dated 14 May 2019, regarding the FMA’s five most expensive trials, what they involved and a summary of costs

District Court decision in the case against Morgan De Vere Corporate Finance Limited, 1 May 2019.