Document Library

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

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Consultation paper Improving financial information in an equity PDS

This consultation is for issuers, their advisors, investors and other interested parties. It aims to seek feedback on our proposed guidance and interpretations of the regulations.

Exemption Notice - The City of London Investment Trust plc

Financial Markets Conduct Exemption Notice 2017 - The City of London Investment Trust plc.

Exemption Notice - Stride Property Group

Financial Markets Conduct (Stride Property Group) Exemption Notice 2017

Consultation paper Short duration derivatives

FMA consults on licensing for short duration derivatives and proposes excluding deliverable spot FX contracts from the FMC Act’s derivative scope.

31 March 2017 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 March 2017

European Securities and Markets Authority (ESMA) - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the European Securities and Markets Authority (ESMA)

Exemption notice - Financial Markets Conduct Deutsche Bank AG

Financial Markets Conduct (Deutsche Bank AG) Exemption Notice 2017

Exemption Notice - Financial Markets Conduct JP Morgan Chase Bank N.A.

Financial Markets Conduct (JP Morgan Chase Bank N.A.) Exemption Notice 2017

Submissions Report KiwiSaver guidance note

This submissions report is in response to submissions on the draft KiwiSaver advice guidance note consultation, 2017.

KiwiSaver sales and advice guidance

This guidance note is for advisers and financial firms advising on KiwiSaver products.

Consultation paper Disclosing non GAAP financial information

This guidance note is primarily for FMC reporting entities and their directors. It aims to outline the FMA's expectations on the use of non-GAAP financial information.

Mark Warminger - Judgment

Mark Warminger Judgment in the HIgh Court issued in the case brought about by the FMA March 2017.

Conduct Outcomes Report 2016

This report highlights the key issues and actions from our enforcement, supervision and preventative activities in the period 1 July 2015 to 30 June 2016.

2017 Letter of Expectations

The letter of expectation 2017 is delivered by the Minister to the FMA to formalise expectation of the FMA as a Crown entity.

New Zealand Law Society - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the New Zealand Law Society

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