Document Library

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

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Guide to market misconduct risks for MIS managers

This information sheet is to help Managed Investment Scheme (MIS) managers understand how to manage market misconduct risks in trading activity.

Expectations for and experiences of retirement - research report

This survey looks at older New Zealanders’ expectations for and experiences of retirement. Research was conducted among those aged 50 years and over, and includes the views of those who are nearing retirement and those who have already retired. The results of the survey were published in 2015.

Investigations and Enforcement Report 2015

This report highlights the key themes and issues in our investigation and enforcement activity in the year to 30 June 2015. It is intended to provide insight into the work we do, and help businesses and professionals better understand the behaviour we expect.

Expense disclosure CE Gifts 2015 Jan Jun

CE gifts and hospitality disclosure for the period 1 January 2015 - 30 June 2015

Expense disclosure CE Hospitality 2015 Jan Jun

CE expenses disclosure for the period 1 January 2015 - 30 June 2015

Expense disclosure CE 2015 Jan Jun

CE expenses disclosure for the period 1 January 2015 - 30 June 2015

Exemption Notice 2015 - Financial Markets Conduct Direct FX Limited

Financial Markets Conduct Direct FX Limited Exemption Notice 2015

Exemption Notice - Financial Advisers Courtenay Nominees Limited Transaction Reporting

FMA exempts Courtenay Nominees from cash asset reporting under the FMCA, subject to conditions on valuation and disclosure by Todd Family Office.

Exemption Notice - Financial Markets Conduct Act Todd Family Office Limited Transaction Reporting

Financial Markets Conduct (Todd Family Office Limited Transaction Reporting) Exemption Notice 2015.

Arena Capital Limited - Receivers report

Receivers' First Report into the Receivership of Arena Capital Limited, 24 July 2015.

Exemption Notice - Financial Markets Conduct Act Takeovers Panel

Financial Markets Conduct Act (Takeovers Panel) Exemption Notice 2015.

Electricity Authority - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Electricity Authority

David J Hobbs and Jacqueline Hobbs - Enforceable Undertaking

Enforceable Undertaking by David Hobbs and Jacqueline Hobbs, July 2015.

Exemption Notice - Financial Markets Conduct Southern Pastures Management Limited

Financial Markets Conduct (Southern Pastures Management Limited) Exemption Notice 2015

Risk indicators and descriptions of managed funds draft guidance

In December 2014 we consulted on guidance for calculating risk indicators. After consultations, feedback and subsequent discussions with businesses who have been involved in producing draft product disclosure statements, we believe it would be useful to extend that guidance note to cover additional related matters.

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