Document Library

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

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FMA cases prosecuted - OIA request

OIA request for information on FMA cases prosecuted

Kiwisaver funds that move the market - OIA request

Our response to a OIA request relating to Kiwisaver funds moving the market

Pencarrow Private Equity Management Limited - Formal Warning

FMA formally warns Pencarrow Private Equity for AML/CFT record-keeping breaches tied to Fund V investments, April–July 2018.

UK recruitment trip - OIA request

OIA response to request for information surrounding the UK recruitment trip 2022

Value for Money discussion document - OIA response

OIA response: Request for Value for Money discussion document

Trading financial derivates policy - OIA request

OIA response to a request for information on policy on trading financial derivatives

Bullying and harassment statistics - OIA request

OIA response to a request for FMA statistics on bullying and harassment

Exemption notice - Financial Markets Conduct Small Co operatives

This notice provides co-operative companies and industrial and provident societies with a lighter regulatory compliance pathway.

Disclose Register MIS fund updates for 30 June 2022

MIS fund update for 30 June 2022.

Accredited Body Report - NZICA 2022

Findings from the FMA’s review of the adequacy and effectiveness of NZICA’s audit regulatory systems for the period 1 July 2021 to 30 June 2022.

Accredited Body Report - CPA Australia 2022

Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2021 to 30 June 2022

Standard conditions Financial Institutions

Standard conditions for Financial Institutions.

Financial Institutions Submissions report standard conditions

Collation of written feedback received as part of the FMA’s public consultation on the proposed standard conditions for financial institution licences.

Consultation summary - summary of key themes standard conditions for Financial Institutions

Summary of the key themes presented during the consultation of financial institution standard conditions for licensing.

Financial Institutions Regulatory Impact Statement (RIS) standard conditions

This document is for financial institutions, their advisers, and interested parties. It discusses standard conditions for financial institution licences.

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