Document Library

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

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Expense disclosure CE 2015 Jan Jun

CE expenses disclosure for the period 1 January 2015 - 30 June 2015

Exemption Notice 2015 - Financial Markets Conduct Direct FX Limited

Financial Markets Conduct Direct FX Limited Exemption Notice 2015

Exemption Notice - Financial Advisers Courtenay Nominees Limited Transaction Reporting

FMA exempts Courtenay Nominees from cash asset reporting under the FMCA, subject to conditions on valuation and disclosure by Todd Family Office.

Exemption Notice - Financial Markets Conduct Act Todd Family Office Limited Transaction Reporting

Financial Markets Conduct (Todd Family Office Limited Transaction Reporting) Exemption Notice 2015.

Arena Capital Limited - Receivers report

Receivers' First Report into the Receivership of Arena Capital Limited, 24 July 2015.

Exemption Notice - Financial Markets Conduct Act Takeovers Panel

Financial Markets Conduct Act (Takeovers Panel) Exemption Notice 2015.

David J Hobbs and Jacqueline Hobbs - Enforceable Undertaking

Enforceable Undertaking by David Hobbs and Jacqueline Hobbs, July 2015.

Electricity Authority - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Electricity Authority

Exemption Notice - Financial Markets Conduct Southern Pastures Management Limited

Financial Markets Conduct (Southern Pastures Management Limited) Exemption Notice 2015

Risk indicators and descriptions of managed funds draft guidance

In December 2014 we consulted on guidance for calculating risk indicators. After consultations, feedback and subsequent discussions with businesses who have been involved in producing draft product disclosure statements, we believe it would be useful to extend that guidance note to cover additional related matters.

User Guide: Annual AML/CFT Report

The annual report is required by section 60 of New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘the Act’). The annual report applies to activities that are covered by the Act.

Southern Cross Benefits Limited Levy Waiver

On 25 May 2015 the FMA granted a waiver of part of the FMA levy to Southern Cross Benefits Limited (SCBL).

NZX Obligations Review 2015

The Financial Markets Conduct Act 2013 (FMC Act) requires the FMA to carry out a review, at least annually, of how well a licensed market operator is meeting the market operator obligations contained in section 314 of the FMC Act, and to publish a written report. This report was published in 2015.

DIMS providers Calculation of returns for information sheet

This information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).

Exemption Notice 2015 - Financial Reporting Act American Income Life Insurance Company

Financial Reporting Act American Income Life Insurance Company Exemption Notice 2015

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