Document Library

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

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Exemption Notice 2015 - Financial Markets Conduct Sovereign Services Limited

Financial Markets Conduct Sovereign Services Limited Exemption Notice 2015

CMB Information Sheet for May 2015

Offers of contributory mortgages made by contributory mortgage brokers who are not lawyers are regulated under the Securities Act (Contributory Mortgage) Regulations 1988 (Regulations). The Regulations exempt brokers from certain disclosure and governance requirements, under the Securities Act 1978.

New requirements for lawyers offering contributory mortgages

From 1 December 2016 all new offers of contributory mortgages must be made under the FMC Act.

Commerce Commission v ANZ Bank New Zealand Ltd - Judgment

Judgment in the High Court in the case between Commerce Commission and ANZ Bank New Zealand Limited, 28 May 2015.

Pacific Edge Limited - Settlement Agreement

Settlement agreement with Pacific Edge Limited (PEB), May 2015.

FMA certification process for the registration of new KiwiSaver superannuation and workplace savings schemes information sheet

This information sheet outlines the process for getting a certificate from the FMA to apply for registration of a new KiwiSaver, superannuation or workplace savings scheme.

Exemption Notice 2015 - Financial Markets Conduct (The Warehouse Group Limited)

Financial Markets Conduct (The Warehouse Group Limited) Exemption Notice 2015

Consultation: Investor acknowledgement and warning for the $750,000 minimum investment wholesale investor exclusion

FMA consultation on potential exemptions to investor warnings and acknowledgements under the $750K wholesale investor exclusion in NZ markets.

Exemption Notice 2015 - Securities Act (NZX Limited)

Securities Act (NZX Limited) Exemption Notice 2015

Hanover - Settlement Agreement

Settlement Agreement with the Directors' of Hanover Finance Ltd (HFL), United Finance Ltd (UFL) and Hanover Capital Limited (HCL), 28 April 2015.

Response to Submissions Derivatives Issuer Standard Condition: Suitability of Products for Clients

FMA responses to feedback on a proposed suitability condition for derivatives issuers, addressing investor understanding, compliance scope, and clarity.