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The Statement of Performance Expectations (SPE) is one of two documents that set out how we measure our future performance and report on the progress of that performance against our performance targets. This is our 2017 report.
Financial Markets Conduct Act 2013 exemption notice issued to Heinz Wattie Limited re Pension Plan 2017.
2017 FMA review of ICE Futures Europe assessing compliance with New Zealand licensing obligations for derivatives markets, based on oversight by the UK Financial Conduct Authority.
Financial Markets Conduct (Australian Scholarship Group Friendly Society Limited) Exemption Notice 2017
UDC Finance Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 - PDS consideration unnecessary. June 2017.
This consultation is for financial advisers, financial product providers, consumers and other interested parties. It seeks feedback on the exemption proposal to facilitate the provision of personalised robo-advice.
Sentencing notes, district court at Auckland in the case against Jeffrey Peter Honey, 13 June 2017.
FMA sets out 2017 KiwiSaver fee calculation methodology for providers to disclose annual total fees per member under the FMC Act.
The amendment notice amends the Financial Markets Conduct (Shares in Investment Companies) Designation Notice 2017 which came into force on the 19 May 2017.
The FMA carried out investor research measuring attitudes towards, and investment in New Zealand’s financial markets. The survey was conducted by Colmar Brunton in 2017.
FMA guide outlines 4 key steps of preparation tips to successfully apply for a licence under the FMC Act, including legal requirements, gaps, Apply online and Meet with us early.
This consultation is for: managers, supervisors, auditors, administration managers, investors. It aims to: seek feedback on the exemption proposal for bundled unit trusts.
Financial Advisers (Certified Investment Management Analyst) Exemption Notice 2017.
This document is for investment companies, managers, advisers. It discusses a class designation of certain shares in investment companies as managed investment products.
Financial Markets Conduct (KiwiSaver Annual Statement Fees) Exemption Notice 2017