Document Library

Use of FMA Act notices OIA response

Use of FMA Act notices

Blockchain technologies OIA response

Blockchain technologies

Westpac CC and FMA EU

Enforcement undertakings to the FMA and Commerce Commission, Westpac CC and FMA EU

Exemption Notice- Financial Markets Conduct Times-7 Group

The Financial Markets Conduct (Times-7 Group) Exemption Notice 2023 exempts Times-7 Holdings Limited and Times-7 Research Limited (together, the issuers) from compliance with the disclosure requirements of Part 3 of the Financial Markets Conduct Act 2013 (Act).

Regulatory returns questions for licensed MIS

Annual regulatory return information to be provided by licensed MIS providers to the FMA.

AML/CFT Explanatory Note: Electronic Identity Verification Guideline

This Explanatory Note: Electronic Identity verification Guideline replaces the previous Explanatory Note that was published by the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Supervisors in December 2017.

Enprise Group Limited - Warning

FMA warns Enprise Group for failing to keep proper accounting records under FMC Act obligations, citing issues with asset impairment and tax loss recognition.

KiwiSaver Default Instrument of Appointment Exclusions

Exemption notice - Financial Markets Conduct Kuaotunu Camp Ground 2008 Limited

This notice is the Financial Markets Conduct (Kuaotunu Camp Ground (2008) Limited) Exemption Notice 2023.

Kiwisaver Default Instrument of Appointment Exclusions

KiwiSaver Default Instrument of Appointment Exclusions- weapons and devices, fossil fuels

Class legislative notices summary 2023

This is a summary of the Financial Markets Conduct Act class legislative notices we have granted (and are in force) as at 1 June 2023. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.