Document Library

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

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Auditor Regulation Act - Prescribed Minimum Standards for Accredited Bodies - 2012

Prescribed Minimum Standards for Accredited Bodies - Notice 2012. This notice comes into force the day after its notification in the NZ Gazette

Exemption Notice 2012 - Securities Act (ING Management Limited, Ingenia Communities Holdings Ltd and Ingenia Communities RE Ltd)

Securities Act (ING Management Limited, Ingenia Communities Holdings Ltd and Ingenia Communities RE Ltd) Exemption Notice 2012

Policies and guidance for the assessment of applications to be an accredited body

FMA policy on accreditation applications, conditions, and process for becoming an accredited body under financial market regulations.

Exemption Notice 2012 - Securities Act Aurecon Australia Group Limited and Aurecon

Securities Act Aurecon Australia Group Limited and Aurecon Exemption Notice 2012

Exemption Notice (No 2) 2012 - Securities Act Fonterra Co operative Group Limited

Securities Act Fonterra Co operative Group Limited Exemption Notice (No 2) 2012

Exemption Notice 2012 - Securities Act Fonterra Co operative Group Limited

Securities Act Fonterra Co operative Group Limited Exemption Notice 2012

Exemption notice - Securities Act Fonterra Co operative Group limited

Securities Act Exemption Notice 2012: Fletcher Building Limited and Fletcher Building Industries Limited.

Exemption Notice 2012 - Securities Act Fundzi Limited Pre paid Debit Cards

Securities Act Fundzi Limited Pre paid Debit Cards Exemption Notice 2012

AML/CFT Guide for small financial adviser businesses

This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).

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Document Library

Auditor Regulation Act - Prescribed Minimum Standards for Accredited Bodies - 2012

Exemption Notice 2012 - Securities Act (ING Management Limited, Ingenia Communities Holdings Ltd and Ingenia Communities RE Ltd)

Policies and guidance for the assessment of applications to be an accredited body

Exemption Notice 2012 - Securities Act Aurecon Australia Group Limited and Aurecon

Exemption Notice (No 2) 2012 - Securities Act Fonterra Co operative Group Limited

Exemption Notice 2012 - Securities Act Fonterra Co operative Group Limited

Exemption notice - Securities Act Fonterra Co operative Group limited

Exemption Notice 2012 - Securities Act Fundzi Limited Pre paid Debit Cards

AML/CFT Guide for small financial adviser businesses

Expense disclosure CE gifts and hospitality six monthly disclosure 2011 jul dec

Exemption Notice 2011 - Securities Act The NP Equity Group Limited Exemption Notice 2011

Exemption notice - Securities Act Argosy Property Limited 2011

Exemption Notice 2011 - Securities Act Westpac Banking Corporation Australian Ban

Exemption Notice 2011 - Securities Act Meridian Energy Limited

Reserve Bank of New Zealand (RBNZ) settlement systems - MOU