Document Library

This is a guide for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries. It explains what issuers have to do under the trans-Tasman mutual recognition scheme for offers of financial products. This is a joint guide published by the Australian Securities and Investments Commission (ASIC) and the New Zealand Financial Markets Authority (FMA).

High Court Penalty Judgment in the case against Mark Warminger, 29 June 2017.

This report outlines our annual review of how well NZX is meeting its statutory obligations, and covers the 2016 calendar year.

Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2017 report.

2017 FMA review of ICE Futures Europe assessing compliance with New Zealand licensing obligations for derivatives markets, based on oversight by the UK Financial Conduct Authority.

UDC Finance Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 - PDS consideration unnecessary. June 2017.

Sentencing notes, district court at Auckland in the case against Jeffrey Peter Honey, 13 June 2017.