Document Library

Expense disclosure CE Gifts and Benefits January to June 2018

CE gifts and hospitality disclosure for the period 1 January 2018 - 30 June 2018

Expense disclosure CE Hospitality January to June 2018

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

Expense disclosure CE Travel January to June 2019

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

Opt-out of the IDCOP - OIA response

OIA response, 26 July 2018, regarding FMA processing notifications to opt-out of the IDCOP

Letter to agencies regarding State Services Commission Inquiry

Letter to agencies regarding State Services Commission (SSC) inquiry into the use of external security consultants, dated 23 July 2018

Determining whether you are acquiring a business or assets feedback form

Consultation paper feedback form: determining whether you are aquiring a business or assets

Consultation paper Determining whether you are acquiring a business or assets

This consultation is for issuers, their advisers, investors and other interested parties. We are seeking feedback on our proposed guidance and interpretation of the Regulations.

FMA OIA statistics - OIA response

OIA response, dated 19 July 2018, asking for how many OIA requested were received for the previous two financial years.

Exemption from the market index requirement guidance

This guidance note aims to clarify what we expect of MIS managers in relation to the market index requirement for quarterly fund updates.

Consultation paper on legislative notices and unnecessary compliance cost

FMA consults on whether existing legislative notices create unintended compliance burdens or fail to adequately address regulatory needs.

Class legislative notice summary 2018

This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 2 July 2018. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.

Disclosure of significant accounting estimates

This information sheet explains our expectations on disclosure of significant accounting estimates. It is part of our work on improving the overall quality of information being disclosed in financial statements.

QFE insurance providers’ replacement business practices

This thematic review published in July 2018 focuses on QFE insurance providers’ replacement business practices and assesses how their policies and procedures are designed to ensure consumer protection at the point of policy replacement.

30 June 2018 Disclose Register KiwiSaver fund updates

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

30 June 2018 Disclose Register MIS fund updates

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

Looking for information?

Document Library