Document Library

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

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AML/CFT annual monitoring report 2013

This document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).

Fonterra Shareholders' Market Rules - Approval of market rules notice 2013

The FSM Rules dated 14 May 2013 introduce the Diversity Rule. The Diversity Rule incorporates specific reporting requirements for Fonterra Co-operative Group Limited in relation to gender diversity and diversity policy.

2013 Annual letter of expectations

Annual letter of expectation 2013 written by the Minister to the FMA.

consultation paper financial advisers australian licensee notice

The Financial Markets Authority (FMA, or we) are reviewing the Financial Advisers (Australian Licensees) Exemption Notice 2011 (Financial Advisers (Australian Licensees) notice) which expires on 30 June 2013. FMA is keen to hear the views of Australian financial service licence holders who are relying on the Financial Advisers (Australian Licensees) notice and selected stakeholders to determine whether or not to renew the exemption.

Expense disclosure CE 2012 jul dec

CE travel expense disclosure for the period 1 July 2012 - 31 December 2012

Expense disclosure CE 2012 july december

CE expenses disclosure for the period 1 July 2012 - 31 December 2012

Expense disclosure CE 2012 jul dec

CE gifts and hospitality disclosure for the period 1 July 2012 - 31 December 2012

Expense disclosure CE hospitality 2012 jul dec

CE expenses disclosure for the period 1 July 2012 - 31 December 2012

Identity code of practice - OIA response

Identity code of practice OIA response, 11 January 2013

Forsyth Barr - Settlement Agreement

Settlement Agreement with Credit Agricole Corporate and Investment Bank; Credit Sail Limited; Calyon Hong Kong Limited; Forsyth Barr Limited and Forsyth Barr Group Limited, 12 December 2012.

Exemption Notice 2012- Securities Act Betashares Capital Limited

Securities Act Betashares Capital Limited Exemption Notice 2012

Commissione Nazionale per le Societa e la Borsa (Italy) - MOU

MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Commissione Nazionale per le Societa e la Borsa (Italy).

Class exemption review final consultation paper

In this paper we provide an update and seek submissions on proposals relating to the review the Financial Markets Authority (FMA, or we) are undertaking on 17 class exemption notices - December 2012.

Exemption 2012 - Securities Act PA Consulting Group Limited Restructure

Securities Act PA Consulting Group Limited Restructure Exemption 2012

FMA Annual Report 2012

FMA Annual Report 2012.

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