Document Library

31 March 2018 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 March 2018

31 March 2018 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 31 March 2018

Update on the FMA’s ongoing review of insurance replacement business and conflicted conduct

This report follows on from our 2016 report, Replacing life insurance – who benefits? into replacement business activity within the adviser sales channel of the New Zealand life insurance market. It details our findings, the results of our inquiries to date and our expectations for advisers when they are providing advice on replacing insurance policies.

Exemption Notice - Moorhouse Central Proportionate Ownership Scheme

Financial Markets Conduct (Moorhouse Central Proportionate Ownership Scheme) Exemption Notice 2018

Fair dealing in advertising and communications – crowdfunding and peer-to-peer lending guidance

The aim of this guidance is to ensure licensed crowdfunding and peer-to-peer lending platforms understand their obligations when advertising or communicating with customers.

Self select retirement schemes information for scheme managers

This information sheet explains how these schemes are regulated under the Financial Markets Conduct Act 2013 (FMC Act) and what exemptions and waivers may be available.

Self-select retirement schemes – information for scheme managers

Annual Regulatory returns for DIMS providers questions

Annual regulatory return information to be provided by licensed Discretionary Investment Management Services (DIMS) providers to the FMA.

Annual Regulatory returns for licensed Derivative Issuers questions

Annual regulatory return information to be provided by licensed Discretionary Investment Management Services (DIMS) providers to the FMA

MIS regulatory returns sample tables

This spreadsheet should be considered an example of the regulatory return information required by MIS managers.

FMA’s media release on 12 March 2018 - OIA response

OIA response to FMA’s media release on 12 March 2018 regarding the five businesses being warned for Anti-Money Laundering/Countering Financing of Terrorism (AML/CFT) failures. Response dated 5 April 2018.

Consultation: Content of regulatory returns for licensed DI MIS managers and DIMS providers

FMA consults on proposed regulatory returns for licensed derivatives issuers, MIS managers, and DIMS providers, seeking industry and stakeholder feedback.

Exemption notice - Arria NLG Limited Scheme

Financial Markets Conduct (Arria NLG Limited Scheme) Exemption Notice 2018

Corporate Governance Handbook 2018

The Corporate Governance Handbook is a practical guide for directors and executives to apply corporate governance principles.

Corporate governance handbook consultation submissions report

Summarises feedback and FMA responses to the consultation on the updated Corporate Governance Handbook, with full individual submissions included.

Looking for information?

Document Library