Document Library

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

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Found 1756 results. Displaying page 36 of 118

30 September 2022

Climate related disclosure Record keeping initial monitoring approach

FMA's initial monitoring approach for climate-related record keeping - to inform and support new climate reporting entities to meet their statutory reporting requirements.
30 September 2022

AIA New Zealand Ltd - Judgment

AIA fined $700K by Auckland High Court for false or misleading representations to customers, per FMA enforcement, Sept 2022.
29 September 2022

FMA Investor checklist

World Investor Week investing plan checklist.
29 September 2022

Catalist market operator obligations review 2022

This report covers the first market obligations review for Catalist, and covers the period from 21 June 2021, the licence commencement date, to 31 March 2022, the end of Catalist’s first reporting period.
27 September 2022

Securities Industry Association submission

Consultation submission from Securities Industry Association, 1 Aug 2013: Practical implications of factsheet on Managing Intermediaries feedback
27 September 2022

Consultation paper Client money or property service provider guidance

Consultation on proposed guidance on the obligations for client money or property service providers.
27 September 2022

Feedback form Client money and property service guidance

Feedback form for consultation client money and property services guidance.
21 September 2022

WIW2022 Website banners

World Investor Week 2022 promotion materials. This zip file includes website banners
21 September 2022

WIW 2022 Social tiles

World Investor Week 2022 social tiles for sharing purposes.
15 September 2022

WIW2022 Logos

World Investor Week 2022 promotion materials. This zip file includes logos
11 September 2022

KiwiSaver Statements Report 0722

The KiwiSaver Statements research report commissioned by the FMA July 2022
9 September 2022

Consultation paper on proposed Regulatory returns for licensed Class 3 financial advice providers

Public consultation on the proposed regulatory returns that licensed Class 3 financial advice providers will be required to provide to the FMA
9 September 2022

Feedback form regulatory returns for licensed Class 3 financial advice providers

Feedback form for public consultation on the proposed regulatory returns that licensed Class 3 financial advice providers will be required to provide to the FMA
9 September 2022

Financial Markets Conduct NZX NZ Markets Disciplinary Rules Approval of Rule Change Notice 2022

This notice is the Financial Markets Conduct (NZX NZ Markets Disciplinary Tribunal Rules) Approval of Rule Change Notice 2022.
9 September 2022

Proposed annual regulatory return information to be provided by licensed CLASS 3 FAPs to the FMA (questions)

Proposed annual regulatory return information to be provided by licensed CLASS 3 Financial advice providers (FAPs) to the FMA