Document Library

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

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Declaration Fit and Proper - Audit firms

FMA statutory declaration form for audit firms confirming partner fitness and propriety under the Auditor Regulation Act 2011.

Declaration Fit and Proper - Audit /Management Partner

FMA declaration form for audit or management partners to confirm fitness and propriety for audit firm registration under the Act.

Exemption Notice - Fonterra Co-operative Group Limited Insider Trading

Financial Markets Conduct Exemption Notice 2019: Insider Trading - Fonterra Co-operative Group Limited.

A guide to understanding auditing and assurance 2019

Plain-language guide explains auditing & assurance for NZ FMC Reporting Entities to help investors understand audit insights.

Reserve Bank of New Zealand (RBNZ) - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Reserve Bank of New Zealand

Supervisor Licensing guidance

This guidance note is for anyone applying: for a licence to be a supervisor, or to replace an expiring supervisor licence, or to vary an existing supervisor licence.

Exemption Notice - Financial Advisers GT Nominees Limited

Financial Advisers (GT Nominees Limited) Exemption Notice 2016.

FMA Annual Report 2019

The FMA Annual Report 2019 details the results we have achieved against our stated intentions.

Steven Robertson - High Court sentencing notes

High Court sentencing notes in the case against Steven Robertson, 30 October 2019.

FMA Model Litigant Policy

FMA litigation policy outlines principles guiding legal conduct, reflecting current law without imposing new legal obligations.

Acting on behalf of a customer fact sheet

A reporting entity is required to verify the identity of persons acting on behalf of a customer and is also required to verify that they have appropriate authority to act on behalf of the customer.

AML/CFT - interpretation of a trust as a customer

The following is a response made by the AML/CFT supervisors to a query questioning whether a trust can be a customer for the Act’s purposes. This clarification is supplemental to the Trusts Fact Sheet:

Exemption notice - Financial Markets Conduct (trueEX LLC)

Financial Markets Conduct (trueEX LLC) Exemption Notice 2019

Exemption Notice - Obsidian Contributory Mortgage Scheme

Financial Markets Conduct Exemption Notice 2019: Obsidian Contributory Mortgage Scheme.

Exemption notice - Financial Markets Conduct (Masthead Joint Venture)

Financial Markets Conduct (masthead Joint Venture) Exemption Notice 2019

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