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MOU concerning consultation, cooperation and the exchange of information between the FMA and Fairway Resolution Limited trading as Financial Dispute Resolution Scheme

Serious Fraud Office (SFO) - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Serious Fraud Office

Going Concern disclosures in financial statements

The purpose of this 2014 report is to inform market participants of the findings of our review and highlight areas of concern.

Exemption Notice 2014 - Securities Act (Kiwi Property Group Limited)

Securities Act (Kiwi Property Group Limited) Exemption Notice 2014

Exemption notice - Securities Act Kiwi Income Property Trust

Securities Act Exemption Notice 2014:Kiwi Income Property Trust.

NZX Obligations Review 2014

NZX, as New Zealand’s only Registered Exchange, is an essential part of New Zealand’s financial markets. The General Obligations Review provides FMA with the opportunity to report on the adequacy of the arrangements NZX had in place to comply with its obligations during a particular review period, and to identify issues that, in FMA’s view, would assist NZX to ensure its continued compliance.

Licensing guide - small DIMS businesses

FMA guide for small businesses on applying for a DIMS licence under the FMC Act, tailored for lower-risk discretionary services.

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