Use our AI search to ask us a question or use keywords to search for pages or documents.
Example: "How do I apply for a financial institution licence?", "FMA Annual Report 2024"
A filtered search by topic for all guidance, reports or research documents stored on the FMA website.
This consultation is for: FMC reporting entities, licensed managers and scheme auditors, overseas banks, licensed independent trustees, restricted scheme managers, advisers and interested parties. It aims to seek feedback on the exemption proposals explained.
This information sheet outlines how we expect fund managers to disclose performance-based fees to investors.
This information sheet sets out the formula we expect managers of portfolio investment entity (PIE) funds to use when calculating a fund’s return with a 0% prescribed investor rate.
Financial Markets Conduct (Snakk Media Limited Share Sale Plan) Exemption Notice 2016
The annual letter of expectations 2016 issued by the Minister to the FMA that sets out expectations of the Minister to the FMA as a crown entity.
This regulatory impact statement analyses options considered in course of policy work leading to a final decision to exempt offerors of certain debt securities relying on the $750,000 minimum investment wholesale investor exclusion, on conditions, from having to include investor warnings on offer documents and obtain an investor acknowledgement.
This information sheet outlines the options for community and voluntary organisations wanting to borrow money from investors. (This does not include donations).
The aim of this report is to summarise our monitoring to help firms and individuals better understand our expectations, and therefore improve their systems and processes, and ensure compliance with the Act. This report covers the period from 1 July 2014 to 30 June 2015.
Consumer Advisory Network charter of participation 2016
CE gifts and hospitality disclosure for the period 1 June 2015 - 31 December 2015
CE expenses disclosure for the period 1 July 2015 - 31 December 2015
CE expenses disclosure for the period 1 July 2015 - 31 December 2015
CE expenses disclosure for the period 1 July 2015 - 31 December 2015
This notice allows for the NZX to replace the NZ Markets Disciolinary Tribunal Rules date 16 April 2015 with the NZMDT Rules provided to the FMA on 11 Nov 2015
This document is the Disclose Register for KiwiSaver fund updates for 31 December 2015