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Going Concern disclosures in financial statements

The purpose of this 2014 report is to inform market participants of the findings of our review and highlight areas of concern.

Exemption Notice 2014 - Securities Act (Kiwi Property Group Limited)

Securities Act (Kiwi Property Group Limited) Exemption Notice 2014

Exemption notice - Securities Act Kiwi Income Property Trust

Securities Act Exemption Notice 2014:Kiwi Income Property Trust.

NZX Obligations Review 2014

NZX, as New Zealand’s only Registered Exchange, is an essential part of New Zealand’s financial markets. The General Obligations Review provides FMA with the opportunity to report on the adequacy of the arrangements NZX had in place to comply with its obligations during a particular review period, and to identify issues that, in FMA’s view, would assist NZX to ensure its continued compliance.

Licensing guide - small DIMS businesses

FMA guide for small businesses on applying for a DIMS licence under the FMC Act, tailored for lower-risk discretionary services.

NZ Markets Disciplinary Tribunal Rules - Approval of market rules notice 2014

This notice allows for NZX to replace the NZ Markets Disciplinary Tribunal Rules dated 5 March 2013 with the NZ Markets Disciolinary Tribunal Rules dated 31 Jan 2014

Certificate of compliance and authority to apply applicant or their authorised person

Certificate of compliance and authority form for applying to the FMA for a market services licence under the Financial Markets Conduct Act.

Declaration by current proposed senior manager of licence applicant

Declaration to be completed by a current proposed senior manager of a licence applicant for all applications for roles under the FMC Act 2013.

Declaration by current proposed director of licence applicant

Declaration to be completed by current or proposed directors of a licence applicant for market services licences under the FMC Act 2013.

Curriculum vitae of management team member of licence applicant

Form to be completed with details of the Curriculum vitae of management team members of a licence applicant for all applications under the FMC Act 2013.

Declaration by independent trustee individual

Declaration form to be completed by individual independent trustees.

FMA’s supervision of Anti-Money Laundering and Countering Financing of Terrorism

This 2014 document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).

Investor Confidence Research 2014

The Investor confidence Research report 2014 measures attitudes towards and investment in New Zealand’s financial markets. The research was carried out online using Colmar Brunton’s omnibus.

Exemption Notice 2014 - Securities Act (Millennium & Copthorne Hotels New Zealand Limited and First Sponsor Group Limited)

Securities Act (Millennium & Copthorne Hotels New Zealand Limited and First Sponsor Group Limited) Exemption Notice 2014

new governance and accountability framework for mis managers and their licensed supervisors 2014

The FMC Act introduces an accountability framework for managed investment schemes (MIS). The requirements include a statutory duty of care on both managers and supervisors of managed investment schemes. Both must also act in the best interests of investors. Managers and supervisors need to have a clear understanding of their respective roles and understand they will be held to account for their actions.

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