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Declaration by executive director of related body

Declaration form to be completed by executive director's of a related body.

Getting the best outcome from your AMLCFT Audit

This information is intended to help our REs, especially small financial adviser businesses, get value from their AML/CFT Audit. Adopting all (or any) of these items in discussions with auditors is optional, but we believe that by considering these suggestions, REs are more likely to achieve the best possible results from their audit.

Reporting duties under Part 4 of the FMC Act Information Sheet and Table

This information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.

KiwiSaver Report 2014

This KiwiSaver Report 2014 has been prepared in accordance with section 194 of the Act. It details the principal matters transacted under the Act during the period 1 July 2013 to 30 June 2014 (the Reporting Period), and contains the seventh annual summary of the statistical returns required to be lodged by KiwiSaver schemes under section 125 of the Act, as at 31 March 2014.

Exemption Notice 2014 - Securities Act (HSBC Overseas Banks)

Securities Act (HSBC Overseas Banks) Exemption Notice 2014

General Equity - Order

FMA issues a public warning and disclosure order against General Equity for misleading conduct and false claims about regulatory status in NZ.

NXT - Notice of Market Registration 2014

NZX is granted a Market Registration for NXT under section 36F(3) of the Act. The notice comes into force on 29 Sept 2014

Exemption Notice 2014 - Securities Act (Hercules Limited)

Securities Act (Hercules Limited) Exemption Notice 2014

Consultation Paper: Derivatives Issuer Standard Condition on Suitability - Suitability of products for clients

FMA consultation on a proposed suitability condition for derivatives issuers to assess retail investors’ understanding before entering contracts.

Governance under Part 4 of the FMC Act guidance

This guidance note is for Issuers of debt securities, managers of investment schemes and their supervisors. It gives guidance on the expectations of the FMA on your approach to governance and accountability responsibilities that apply to Part 4 of the FMC Act 2015.

Creation of new unit trusts during transition period information sheet 2014

This information sheet responds to queries by market participants about the ability to create new unit trust schemes under the Unit Trusts Act 1960 between 1 December 2014 and 30 November 2015. FMA’s opinion is that persons creating unit trusts between 1 December 2014 and 1 December 2015 can choose between regimes.

Guidance - One off Issuers

This information sheet clarifies when one-off or occasional issuers must register on the Financial Service Providers Register (FSPR) under the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (in addition to any disclosure obligations that they may have under the Financial Markets Conduct Act 2013).

Money Week Survey Report 2014

2014 research report about New Zealanders' attitudes to investment.

Fair dealing provisions transitional arrangements for advertising information sheet

The fair dealing provisions relating to “financial products” and “financial services” make it an offence to engage in misleading or deceptive conduct in relation to financial products or to make false, misleading or unsubstantiated representations about financial products.

Expense disclosure CE gifts 2014 jan feb

CE gift and hospitality disclosure for the period 1 January 2014 - 30 June 2014

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