Document Library

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

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Main board/debt market listing rules - Approval of market rules notice 2013

This notice allows for NZX to replace the NZSX/NZDX listing rules dated 5 Oct 2012 with the board/debt market listing rules dated 30 Oct 2013

KiwiSaver Report 2013

The report details the principal matters transacted under the Act during the year ended 30 June 2013, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.

Monitoring of non-GAAP disclosures response to guidance note

In this review we assessed the market’s response to the guidance note to gain an early indication of whether disclosures around non-GAAP (generally accepted accounting principles) financial information are improving.

NZ Council of Victim Support Groups - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and New Zealand Council of Victim Support Groups

Trustees Executors submission

Submission from Trustees Executors in response to the Consultation paper: practical implications of reporting entities transacting with other reporting entities

Westpac submission

Submission from Westpac New Zealand Limited in response to the Consultation Paper: Practical implications of reporting entities transacting with other reporting entities, 8 Aug 2013

AML/CFT - wire transfers fact sheet

Understand AML/CFT obligations for wire transfers in NZ, including due diligence rules, FATF compliance, and reporting duties.

Consultation feedback Practical implications of Factsheet on Managing Intermediaries

Consultation feedback from DLA Phillips Fox: Practical implications of Factsheet on Managing Intermediaries feedback

Harbour submission

Submission in response to consultation by Harbour.

Kensington Swan Lawyers submission

Response to consultation paper from Kensington Swan, 1 Aug 2013: Practical implications of Reporting Entities transacting with other Reporting Entities and the Factsheet on Managing Intermediaries.

practical implications of factsheet on managing intermediaries feedback 3 1

Response to Consultation by AMP Capital: Practical Implications of Factsheet on Managing Intermediaries feedback.

New Zealand Bankers Association submission

Response to consultation, New Zealand Bankers Association, 3 Aug 2013: Draft factsheet on managing intermediaries

Guardian Trust submission

Submission made on behalf of The New Zealand Guardian Trust Company Limited in response to the consultation paper 'Practical Implications of Reporting Entitie transacting with other Reporting Entities and the Factsheet.

Consultation response managing intermediaries Champman tripp 2013

Response to consultation - Chapman Tripp, 1 Aug 2013: practical implications of reporting entities transacting with other reporting entities

Consultation submission Buddle Findlay

Submission on Consultation Paper: Practical Implications of reporting entities transacting with other reporting entities and the factsheet on managing intermediaries

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