Document Library

Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2018.

This consultation is for MIS managers, advisers, supervisors, investors and seeks feedback on a proposed exemption from the requirement to name assets.

Our Statement of Performance Expectations2018 outlines our short-term (annual) performance targets. It should be read in conjunction with our Statement of Intent.

This guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information. It sets out what ‘default’ means, when licensees must comply with the standard and guidelines on how to publish fair, clear and transparent information.

Financial Markets Conduct (Obsidian Contributory Mortgage Scheme) Exemption Notice 2018

The information sheet is for entities holding or applying for a licence under the Financial Markets Conduct Act 2013, and anyone involved in the creation, implementation and ongoing operation of a compliance assurance programme.

This consultation paper is for those who issue and offer listed financial products, investors, legal advisers, and other interested parties. It seeks feedback on a proposed exemption for same class offers of ASX/NZX-quoted financial products.