Document Library

Statement of Performance Expectations 2021 to 2022

Our Statement of Performance Expectations outlines our short-term (annual) performance targets. It should be read in conjunction with our Statement of Intent. This is the 2021 to 2022 report.

MIS liquidity risk management review

This report contains recommendations on liquidity stress testing frameworks, processes and procedures, following the August 2020 self-assessment survey completed by regulated entities for a two-year period ending 31 December 2019. It will be useful for directors, senior management and investment personnel of managed investment schemes.

Financial Markets Conduct (Catalist Public Market) Approval of Market Rules Notice 2021

New Zealand Financial Product Market Licence Catalist Public Market 2021

Financial advice lender exclusion updated 2021

This information sheet explains the circumstances that may exclude a lender from some Financial Markets Conduct Act 2013 (FMC Act) obligations related to financial advice. The exclusion applies only in relation to consumer credit contracts and certain credit-related insurance contracts. Updated documented published 16/06/21

Licensing interposed persons and engaged entity arrangements information sheet

This information sheet sets out FMA’s approach to licensing financial advice arrangements and provides guidance on circumstances where an engaged entity or interposed person won’t need to be licensed as a FAP.

KiwiSaver switching behaviour 150621

The aim of this research was to identify how any switches and other transactions took place between Febuary and April 2020 at the height of the market volatility associated with COVID-19

Auditor Regulation and Oversight Plan 2021-2024

This report summarises our plan relating to auditor oversight, as part of our obligation under section 52 of the Auditor Regulation Act 2011. It includes small changes to our previous plan, but overall our focus areas remain unchanged.

Regulatory Impact Statement - Exemptions for Catalist Markets listed issuers for same class offers and small offers

This document is for issuers listed on Catalist Markets, their advisers, and other interested parties. It discusses exemptions to enable Catalist listed issuers to make ‘same class’ offers and small offers of $2 million or less through the market.

Exemption notice - Financial Markets Conduct Denarau Villas

Financial Markets Conduct (Denarau Villas) Exemption Notice 2021

Statement of Intent 2014

Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2014 report.

OIA market research question surrounding number of people working in financial markets

OIA response, dated 26 May 2021, regarding a market research query surrounding number of licenses issued by the FMA

Exemption Notice - Silverwood Land 2015 Limited Partnership

Financial Markets Conduct Exemption Notice 2021: Silverwood Land 2015 Limited Partnership

Costs of FADC case - OIA request

OIA response, dated 21 May 2021, costs incurred from investigation commencement to completion by FMA and FADC relating to FADC case reference FADC 010

Negative Interest Rate report 2021

This report is for FMA-licensed entities and their key stakeholders. It gives feedback on key findings of the FMA’s September 2020 survey on industry readiness for negative interest rates.

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