Document Library | Financial Markets Authority

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

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Exemption Notice - Financial Markets Conduct Lifetime Asset Management Limited

Financial Markets Conduct (Lifetime Asset Management Limited) Exemption Notice 2016

Advertising Standards Authority - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Advertising Standards Authority

CPA Australia Limited - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the CPA Australia Limited

Exemption Notice - Financial Markets Conduct IG Markets Limited

Financial Markets Conduct (IG Markets Limited) Exemption Notice 2016

Inland Revenue - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and Inland Revenue

FMA Annual Report 2016 - highlights

Our annual reports detail the results we have achieved against our stated intentions. These results then feedback into our next cycle of direction-setting, planning, implementation and review. Our annual reports are a great way to review our operational highlights for each financial year. This is the short version of the 2016 report.

Exemption Notice - Securities Act Smartshares Limited

Securities Act Exemption Notice 2016: Smartshares Limited.

Exemption Notice - Financial Markets Conduct Bay Energy Limited

Financial Markets Conduct (Bay Energy Limited) Exemption Notice 2016

Aug 2016 Regulatory response guidelines

FMA guide on regulating NZ financial markets and enforcement responses for all financial product and service providers.

FMA Co-operation policy 2016

FMA outlines how full co-operation in misconduct cases may lead to reduced penalties or no action under its enforcement policy.

Takeovers Panel - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and The Takeovers Panel

Exemption notice - Financial Markets Conduct Antipodes Gold Limited

Financial Markets Conduct Exemption Notice 2016: Antipodes Gold Limited.

CoFR Financial Markets - Regulatory Charter

New Zealand Council of Financial Regulators: Regulatory Charter

AMP Wealth Management Limited - Notice under section 68 of the Financial Markets Conduct Act 2013 Reduction of waiting period

AMP Wealth Management Limited - Notice under section 68 of the Financial Markets Conduct Act 2013 Reduction of waiting period

Legislative notices supporting the FMC Act regime

FMA update on exemptions, designations, and legislative tools supporting FMC Act compliance, including sector-specific relief.