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Exemption Notice 2013 - Securities Act (BT Investment Management (RE) Limited and BT Investment Management (Fund Services) Limited)
Securities Act (Benvale Park Limited) Exemption Notice 2013
Securities Act (AMP and NMLA Life Insurance Policies) Exemption Notice 2013
Rowan Kearns Judgment.
Findings from the FMA’s assessment of the sector risks and the underlying key risk factors for Managed Investment Schemes (MIS), January 2023
The High Court struck out a claim that had been brought against it by an investor in Du Val Property Group Ltd, who alleged the Financial Markets Authority (FMA) had breached duties of care owed to Lindeman either by effectively approving a debt for equity swap or failing to warn investors who took up the swap. The Court struck out the claim and confirmed the FMA is required to exercise its regulatory functions in the general public interest and does not owe common law or statutory duties of care to individual investors when performing its functions.
Kuaotunu Camp Ground (2008) Exemption Notice
The FMA commissioned PwC’s behavioural science team to examine KiwiSaver switching behaviour during the height of COVID-19 market volatility, with data provided by 11 KiwiSaver providers.
The KiwiSaver Statements research report commissioned by the FMA July 2022
The PDF document describes the significant increase in the proportion of KiwiSaver investments in high-risk funds from 2021 to 2024. It discusses potential drivers such as changes to policy settings, investor behavior, and market volatility, and highlights the shift towards higher-risk funds over time
Futures Contracts (Financial Transmission Rights) Exemption Notice 2013
The High Court declined the FMA’s application for new search warrants, which were sought in order to search the digital material previously seized in August 2024, on the basis the current warrants (issued by a High Court Judge) remain lawful and the Search and Surveillance Act 2012 does not expressly permit her to grant a warrant in these circumstances.
Financial Markets Authority 2023 Annual Report
Financial Reporting Act (GuocoLeisure Limited) Exemption Notice
Financial Reporting Act (Credit Agricole S.A.) Exemption Notice 2013