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

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Securities Commission Annual Report 2010

The Securities Commission Annual Report published in 2010.

Exemption Notice - Securities Act Fletcher Building Limited and Fletcher Building Industries Limited

Securities Act Exemption Notice 2011: Fletcher Building Limited and Fletcher Building Industries Limited.

Good character and criminal convictions guidance note

The guidance note is intended to answer some of the queries the Commission has received regarding the assessment of good character, as well as provide further guidance on the information applicants need to provide to the Commission in relation to criminal convictions.

AML/CFT Sector Risk Assessment 2011

Our Sector Risk Assessment (SRA) helps us and the REs we supervise understand the risks of money-laundering (ML) and terrorism financing (TF) in each sector.

KiwiSaver distribution and disclosure guideline

Guidance note: KiwiSaver distribution and disclosure, March 2010

KiwiSaver performance fees and ethical fund guideline

In general terms, the costs associated with an ethical fund are similar to the costs associated with a normal equity fund when bottom-up analysis is undertaken. Hence, for funds with similar asset profiles, the Government Actuary would expect the fee levels of ethical funds to be similar to the fee levels of non-ethical funds. However if a global overlay is used, it would be expected that the additional cost necessary for the additional services to be quantified.

Jordan Securities Commission - Bilateral MOU

Bilateral MOU with Jordan securities commission

Emirates Securities and Commodities Authority - Bilateral MOU

Bilateral MOU with Emirates securities and commodities authority signed 6 dec 07 docs 99431

KiwiSaver unreasonable fees guideline

The Government objective for KiwiSaver is to establish a low cost work-based savings scheme. In general terms the KiwiSaver Act 2006 (“the Act”) expounds the principle that the fees should not be unreasonable and should reflect the services provided. This guideline was issued by the Government Actuary.

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Document Library

Securities Commission Annual Report 2010

Exemption Notice - Securities Act Fletcher Building Limited and Fletcher Building Industries Limited

Good character and criminal convictions guidance note

AML/CFT Sector Risk Assessment 2011

KiwiSaver distribution and disclosure guideline

KiwiSaver performance fees and ethical fund guideline

Jordan Securities Commission - Bilateral MOU

Emirates Securities and Commodities Authority - Bilateral MOU

KiwiSaver unreasonable fees guideline

Dubai Financial Services Authority - Bilateral MOU

Japan Financial Services Authority - Bilateral MOU

Israel Securities Authority - Bilateral MOU

Corporate Governance in New Zealand – Principles and Guidelines

Indonesia Capital Market Supervisory Authority - Bilateral MOU

China Securities Regulatory Commission - Bilateral MOU