Document Library

FAP standard conditions full licence RIS

This Regulatory Impact Statement (RIS) discusses standard conditions for financial advice provider (FAP) licences, to be imposed by the FMA.

Exemption Notice - Sharesies Limited

Financial Markets Conduct Exemption Notice 2020: Sharesies Limited.

KiwiSaver fees and value for money feedback form

Consultation feedback form: KiwiSaver fees and value for money

Financial Markets Conduct (NZX Rules) Approval of Rule Change Notice 2020 –2020

Financial Markets Conduct (NZX Rules) Approval of Rule Change Notice 2020 which aplies to Derivative Market Rules; NZX Participant Rules; Fonterra Share Market Listing Rules and NZ Markets Disciplinary Tribunal Rules.

Consultation KiwiSaver Fees and Value for Money

This consultation seeks input from KiwiSaver managers, KiwiSaver supervisors, other MIS managers, and other interested parties, on the regulatory approach to the statutory requirement that KiwiSaver fees must not be unreasonable and the related overarching statutory duties.

Pegasus Market Limited - sentencing notes

Sentencing notes in the case against Pegasus Market Limited, 23 December 2020.

Consultation paper Recognition of Australian Adviser Qualifications

Consultation: This guidance note is for any person who gives regulated financial advice, and their advisers and interested parties. It seeks feedback on proposed recognition of certain Australian adviser qualifications.

AML warnings - OIA request

OIA response, dated 15 October 2020, looking at the total number of non-public formal warnings issued until June 2020 and he calendar or reporting years in which these were issued

COVID-19: Timetable of deferred Regulatory initiatives

FMA defers AML reporting, insurer reviews, scheme reports, and consultation deadlines due to Covid-19 Alert Levels in Aug–Sept 2021.

30 September 2020 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 30 September 2020

30 September 2020 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 30 September 2020

Consultation Auditor Regulation Act Replacement and Amendments

This consultation is for: licensed auditors and registered audit firms, accredited bodies, and other interested parties. Itseek views from licensed auditors and registered audit firms on the proposed revocation of the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012 and Amendment Notice 2015, and introduction of the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.

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