Document Library

The aim of this report is to summarise our monitoring to help firms and individuals better understand our expectations, and therefore improve their systems and processes, and ensure compliance with the Act. This report covers the period from 1 July 2014 to 30 June 2015.

CE gifts and hospitality disclosure for the period 1 June 2015 - 31 December 2015

CE expenses disclosure for the period 1 July 2015 - 31 December 2015

This notice allows for the NZX to replace the NZ Markets Disciolinary Tribunal Rules date 16 April 2015 with the NZMDT Rules provided to the FMA on 11 Nov 2015

FMA consults on appropriate disclosure, governance, and reporting relief under the FMC Act for overseas issuers, FMC entities, and their advisers.

FMA consults on FMC Act exemptions for closed property schemes, including asset custody and limited governance relief for schemes being wound up.

FMA consults on class designations treating shares as managed investment products, seeking feedback on regulatory impact and implications.