Document Library

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

Keywords

Date Published

Sort by:

NZX Participant Rule Change Notice - Off Market Trading 2018

This notice allows for NZX to replace the NZX Participant Rules dated 1 Dec 2017 and the NZX Participant Procedures dated 1 Dec 2017

Consumer Views of Financial Providers’ Conduct

The FMA commissioned Buzz Channel to conduct research among New Zealanders to understand their experience with financial services providers.

Expense disclosure CE January to June 2018

CE expenses disclosure for the period 1 January 2018 - 30 June 2018

Exemption notice - New Zealand Retirement Trust Notice

Financial Markets Conduct (New Zealand REtirement Trust) Exemption Notice 2018

Exemption notice - Financial Markets Conduct FNZ Group 2018

Financial Markets Conduct (FNZ Group) Exemption Notice 2018

Exemption notice - Financial Markets Conduct Christchurch City Holdings Limited Subsidiary Balance Date Alignment

Financial Markets Conduct (Christchurch City Holdings Limited Subsidiary Balance Date Alignment) Exemption Notice 2018

AMLCFT optout follow up - OIA response

OIA response, 23 August 2018, regarding FMA processing notifications to opt-out of the IDCOP

Forestlands Limited - Judgment

High Court Judgment in the case against Forestlands Limited, 23 April 2018.

Exemption notice - Financial Markets Conduct Fliway Group Limited

Financial Markets Conduct (Fliway Group Limited) Exemption Notice 2018

SSC inquiry regarding external security consultants - response

FMA response to SSC inquiry dated 20 August 2018 regarding external security consultants

Exemption notice - Financial Markets Conduct Heartland Group

Financial Markets Conduct (Heartland Group) Exemption Notice 2018

FMA change management - OIA response

OIA response, dated 14 August 2018, on FMA change management

CBL Corporation Limited - Judgment

The High Court Judgment in the case against CBL Corporation Limited 13 August 2018.

FMA Annual Corporate Plan 2018-19

This Annual Corporate Plan sets out our activities for 2019/20 that will promote our strategic priorities, address regulatory risks and harms, and deliver sector outcomes. This plan should be read alongside our Strategic Risk Outlook, which provides our medium-term view of the most significant risks to and opportunities for promoting fair, efficient and transparent financial markets.

Expense disclosure CE Travel January to June 2018

CE expenses disclosure for the period 1 January 2018 - 30 June 2018

Looking for information?

Document Library