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Financial Markets Conduct - Disclosure of Relevant Interests by Directors and Senior Manager Exemption Notice

Exemption notice issued by the FMA for Financial Markets Conduct Disclosure of Relevant Interests by Directors and Senior Managers.

AML/CFT Supervisory framework

FATF has issued a comprehensive plan of action needed to fight against anti-money laundering/countering financing of terrorism (AML/CFT). The objective of the framework is to protect the integrity of the financial sector.

Territorial scope of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 guidance

This guideline is designed to assist businesses to determine whether they have obligations under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (“the AML/CFT Act”). Updated November 2019

Audit investor guide 2019

Companies listed on the share market must have their financial statements independently audited, and present a report from the auditor to investors in their annual report. This guide informs investors of the obligations imposed by the FMA on auditing of their financials.

Audit quality Director's guide 2019

The Audit Quality Directors Guide 2019 handbook is aimed at directors of FMCreporting entities. It sets out how you, as a director, can contribute to the quality of your audit, as well as what you can expect from the FMA and your auditor.

Regulatory Impact Statement: FAP transitional licence

Regulatory Impact Statment: standard conditions Financial advice provider transitional licences November 2019

FAP transitional licence standard conditions submissions report

Summary of key themes: Submissions on proposed standard conditions for financial advice provider transitional licences November 2019

Ease of doing business survey report 2019

The FMA commissioned Buzz Channel to conduct research among key stakeholders to understand the effectiveness of interactions FMA has with stakeholders and satisfaction with the service it provides.

Class legislative notice summary 2019

This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 30 October 2019. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.

Improving infromation in an equity PDS submissions report

Response to submissions, May 2018: Improving financial information in an equity PDS

Declaration - Supervisors licence TRU2.1

FMA TRU2.1 form includes statutory declaration and checklist for supervisors licence, covering applicant info, governance, and compliance.

Declaration Fit and Proper - Audit firms

FMA statutory declaration form for audit firms confirming partner fitness and propriety under the Auditor Regulation Act 2011.

Declaration Fit and Proper - Audit /Management Partner

FMA declaration form for audit or management partners to confirm fitness and propriety for audit firm registration under the Act.

Exemption Notice - Fonterra Co-operative Group Limited Insider Trading

Financial Markets Conduct Exemption Notice 2019: Insider Trading - Fonterra Co-operative Group Limited.

A guide to understanding auditing and assurance 2019

Plain-language guide explains auditing & assurance for NZ FMC Reporting Entities to help investors understand audit insights.

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