Document Library

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

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Consultation Personalised DIMS response to submissions [unused]

FMA response to feedback on proposed eligibility and standards for AFAs offering Personalised DIMS under the Financial Advisers Act 2008.

Exemption Notice - Securities Act Heartland Bank Regulatory Capital

Securities Act Exemption Notice 2014: Heartland Bank Regulatory Capital.

Accredited Bodies Report NZICA 2014

Accredited Body Report – New Zealand Institute of Chartered Accountants For the period ended 30 June 2014

Banking Ombudsman Scheme Limited - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Banking Ombudsman Scheme Limited

ANZ Bank New Zealand Limited - Settlement Agreement

Settlement Agreement with ANZ Bank New Zealand Limited regarding interest rate swaps sales to certain rural customers, 3 December 2014.

Commerce Commission v ANZ - Settlement Agreement

Settlement Agreement made with New Zealand Commerce Commission by ANZ Bank New Zealand Limited following an investigation into interest rate swaps transactions with rural customers between 2005 and 2009. 3 December 2014.

Consultation Fund update template and guidance for calculating risk indicators

FMA consultation on a fund update template and risk indicator guidance to enhance disclosure and comparability for NZ managed funds.

Transition to fmc act other types mis information sheet

Timeline for other types of MIS to transition to the FMC Act. Other types of MIS includes a range of schemes, often tightly focused – eg property and forestry schemes. Note, excludes property and forestry schemes structured as companies (who generallyare classed as equity issuers).

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Document Library

Consultation Personalised DIMS response to submissions [unused]

Exemption Notice - Securities Act Heartland Bank Regulatory Capital

Accredited Bodies Report NZICA 2014

Banking Ombudsman Scheme Limited - MOU

ANZ Bank New Zealand Limited - Settlement Agreement

Commerce Commission v ANZ - Settlement Agreement

Consultation Fund update template and guidance for calculating risk indicators

Transition to fmc act other types mis information sheet

Transition to fmc act superannuation mis information sheet

Transition to fmc act other types mis information sheet

Transition to fmc act unit trusts mis information sheet

Transition to FMC Act KiwiSaver MIS Information Sheet

Transition to FMC Act Corporate debt issuers continuous or open offers Information Sheet.1.1

Transition to FMC Act Equity Issuers continuous Information Sheet

Transition to FMC Act Corporate debt issuers Information Sheet