Document Library

This information sheet outlines the FMA’s immediate priorities as New Zealand continues to respond to the COVID-19 pandemic, showing how we will support that response and recovery, while also ensuring financial service providers support their customers and investors. The information sheet was published in July 2020 and updated in June 2021.

OIA response, dated 20 July 2020, regarding time spent, external costs incurred and level of coordination with other agencies on the civil proceedings in the Auckland High Court against CBL Corporation Limited

Feedback form: Consultation 16 class exemption notices expiring

FATF describes high-risk jurisdictions subject to a “Call for Action” as having significant strategic deficiencies in their regimes to counter money laundering, terrorist financing, and financing of proliferation. Two countries are on this high-risk list: North Korea and Iran.

Financial markets Conduct Exemption Notice 2020: AxiCorp Financial Services Pty Ltd.

This sector risk assessment summarises the key risks posed by licensed Derivatives Issuers (DIs) to the FMA’s objective of promoting fair, efficient and transparent financial markets. It is based on a self-assessment completed by DIs, as well as our interactions with DIs and their clients since FMC Act licensing began.

Consultation feedback from Macquarie Group Holdings New Zealand Limited, 1 Aug 2013: Practical implications on factsheet on managing intermediaries feedback