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Pegasus Market Limited - sentencing notes

Sentencing notes in the case against Pegasus Market Limited, 23 December 2020.

Consultation paper Recognition of Australian Adviser Qualifications

Consultation: This guidance note is for any person who gives regulated financial advice, and their advisers and interested parties. It seeks feedback on proposed recognition of certain Australian adviser qualifications.

AML warnings - OIA request

OIA response, dated 15 October 2020, looking at the total number of non-public formal warnings issued until June 2020 and he calendar or reporting years in which these were issued

COVID-19: Timetable of deferred Regulatory initiatives

FMA defers AML reporting, insurer reviews, scheme reports, and consultation deadlines due to Covid-19 Alert Levels in Aug–Sept 2021.

30 September 2020 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 30 September 2020

30 September 2020 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 30 September 2020

Consultation Auditor Regulation Act Replacement and Amendments

This consultation is for: licensed auditors and registered audit firms, accredited bodies, and other interested parties. Itseek views from licensed auditors and registered audit firms on the proposed revocation of the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012 and Amendment Notice 2015, and introduction of the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.

Approval of (NZX Listing Rules) - Approval of Rule Change Notice 2020

This notices approves changes to the NZX Listing Rules and allows NZX to amend the disclosure settings for direct listings under the NZX Listing rules dated 1 Jan 2020

CoFR Timetable of Regulatory initiatives September 2020

The table provides a comprehensive list of the regulatory initiatives that are being deferred during the Covid-19 crisis.

Consultation licensing crowd funding

Consultation: Draft minimum standards and licence conditions for crowd funding service providers.

Hits and Myths Mary Holm Guidebook

Hits and myths is an introductory guide to investing by Mary Holm. It’s a quick guide for anyone who’s thinking about or already dabbling in investing – and wants to know more.

Kiwisaver Annual Report 2020

The report details the principal matters transacted under the Act during the year ended 30 June 2020, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.

Supervision Insights Report 2020

An overview of the FMA’s supervision activities and findings from our monitoring reviews of regulated entities. This is our 2020 report.

Exemption notice - Consilium KiwiWRAP Scheme

Financial Markets Conduct (KiwiWRAP KiwiSaver Scheme) Exemption Notice 2020

Levy Waiver KiwiWRAP KiwiSaver Scheme

Levy waiver granted to KiwiWRAP KiwiSaver Scheme September 2020.

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