Document Library

FMA Annual Report 2018

FMA Annual Report 2018.

FMA Annual Report 2017 - highlights

These are highlights from the FMA Annual Report 2018.

Ease of doing business survey 2018

The FMA’s “Ease of doing business survey” is a piece of research from a sample of our regulated populations and the stakeholders we deal with. This research helps us to better understand the impact that our work has on market participants and stakeholders. It informs the way we work and our focus on continuous improvement in our effectiveness and efficiency.

Social Media Campaign 2018 - OIA response

OIA response, on 18 October 2018, regarding costs surrounding a social media campaign for World Investor Week 2018

Exemption notice - Financial Markets Conduct Craigs Investment Partners Self Select Schemes 2018

Financial Markets Conduct (Craigs Investment Partners Self-Select Schemes) Exemption Notice 2018

Second Samson trial - OIA response

OIA response to the Second Samson trial. Response dated 8 October 2018

Craigs Investment Partners Self Select Schemes Levy Waiver - October 2018

On 8 October 2018 the FMA granted a waiver of part of the FMA levy to Craigs Investment Partners Self-Select Schemes (Craigs).

Class exemption for managing intermediaries

This information sheet explains the conditions for reporting entities whose customers include managing intermediaries and customers of managing intermediaries to be able to rely on the Anti-Money Laundering and Countering Financing of Terrorism (Class Exemptions) Notice. .

KiwiSaver Report 2018

The report details the principal matters transacted under the Act during the year ended 30 June 2018, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.

30 September 2018 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 30 September 2018

30 September 2018 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 30 September 2018

AML/CFT resourcing - OIA response

OIA response, dated 28 September 2018, resourcing for the AML/CFT work undertaken by the Securities Commission

AML staff for each financial year - OIA response

OIA response, dated 28 September 2018, regarding: Numbers of AML staff and HR for each financial year

The essentials of being a director

This guide is intended to provide company directors and prospective directors with a quick reference and overview of some of the key things they should think about. It outlines some of the legal requirements, ethical considerations and best practice areas for directors to consider, to be effective in their role. It is not intended to be comprehensive and includes links to more detailed resources.

Director Essentials - IoD

FMA & IoD 2024 guide offers key legal, ethical & best practice tips for NZ directors to be effective in governance roles.

Looking for information?

Document Library