Document Library | Financial Markets Authority

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

Keywords

Date Published

Sort by:

31 March 2020 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 March 2020

31 March 2020 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 31 Mar 2020

Exemption notice - UBT Invest NZ Funds

Financial Markets Conduct (UBT Invest NZ Funds) Exemption Notice 2020

AML/CFT Complying with AML/CFT verification requirements during COVID-19 Alert Levels

This guidance is for reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act) during COVID-19 Alert Levels.

Tiger Brokers (NZ) Limited - Formal Warning

FMA issued a formal warning to NZX-accredited broker Tiger Brokers (NZ) Limited for failing to have several adequate anti-money laundering protections in place. 20 March 2020.

Exemption Notice - Centuria Capital Group

Financial Markets Conduct (Centuria Capital Group) Exemption Notice 2020.

2020/21 Annual letter of expectations

Annual letter of expectations from the Minister 2020/21

Exemption Notice - Vital Healthcare Property Trust Restructure Disclosure

Financial Markets Conduct Exemption Notice 2020: Vital Healthcare Property Trust Restructure Disclosure.

Conduct and Culture Review report 2019 - OIA request

OIA response, dated 24/02/2020, asking for a copy of the Bank Conduct and Culture Review (or Life Insurer Conduct and Culture Review) 2019

CE Expenses Disclosure Gifts JulDec19

CE expense disclosure for the period 1 July 2019 - 31 December 2019.

CE Expenses Disclosure Hospitality JulDec19

CE expense disclosure for the period 1 July 2019 - 31 December 2019.

CE Expenses Disclosure Other JulDec19

CE expense disclosure for the period 1 July 2019 - 31 December 2019

CE Expenses Disclosure Travel JulDec19

CE travel expense disclosure for the period 1 July 2019 - 31 December 2019

CPA Australia accredited body report 2020

This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2019 to 30 June 2020.

31 December 2019 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 December 2019