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This thematic review published in July 2018 focuses on QFE insurance providers’ replacement business practices and assesses how their policies and procedures are designed to ensure consumer protection at the point of policy replacement.
This document is the Disclose Register for KiwiSaver fund updates for 30 June 2018
This document is the Disclose Register for MIS fund updates for 30 June 2018
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 2018.
This monitoring report summarises the findings from our thematic review to determine the extent of improvements in the presentation of financial statements in a clear, concise and effective way, and sets out some suggestions for additional improvement.
This consultation is for MIS managers, advisers, supervisors, investors and seeks feedback on a proposed exemption from the requirement to name assets.
Financial Markets Conduct Exemption Notice 2018 - TIL Logistics Group Limited.
Our Statement of Performance Expectations2018 outlines our short-term (annual) performance targets. It should be read in conjunction with our Statement of Intent.
During 2016 the International Monetary Fund (IMF) undertook a review of the New Zealand financial sector. The Financial Stability Assessment Programme report recommended that the FMA ”continue to engage with Supervisors to ensure that they take a consistent approach to their supervision of Managed Investment Scheme (MIS) managers”
This guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information. It sets out what ‘default’ means, when licensees must comply with the standard and guidelines on how to publish fair, clear and transparent information.
FMA has an obligation to publish an auditor regulation and oversight plan by 30 June each year, for a three year period, setting out our intentions for the regulation and oversight of auditors under the Act. This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. It may also be of interest to issuers, investors and their advisers.
Financial Markets Conduct (Obsidian Contributory Mortgage Scheme) Exemption Notice 2018
The information sheet is for entities holding or applying for a licence under the Financial Markets Conduct Act 2013, and anyone involved in the creation, implementation and ongoing operation of a compliance assurance programme.
Financial Markets Conduct (SuperLife Workspace Savings Scheme) Exemption Notice 2018