Document Library | Financial Markets Authority

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

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Exemption Notice - Financial Markets Conduct Plus500AU Pty ltd 2022Ltd

Financial Markets Conduct (Plus500AU Pty Ltd) Exemption Notice 2022

Exemption Notice - Financial Markets Conduct Berkshire Hathaway Specialty Insurance Company

This notice is the Financial Markets Conduct Act (Berkshire Hathaway Specialty Insurance Company) Exemption Notice 2022.

2022 23 Letter of expectation

Annual letter of expectation from the Minister 2022-2-23

31 March 2022 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for period ending 31 March 2022

31 March 2022 Disclose Register MIS fund updates

Disclose Register MIS fund updates for 31 March 2022

Du Val Capital Partners Ltd - Judgment

Judgement in the case against Du Val Capital Partners Ltd

The One Management GP Limited and James Law Realty - Interim Stop Order

FMA issued an interim stop order to The One Management GP Limited and James Law Realty regarding an offer in relation to The One in Longhorn Partnership Fund (‘the Fund’), which is only open to wholesale investors, including eligible investors. 28 March 2022

Zhongyang (Sean) Meng and Jiashun (Sam) Qian - Judgment

JUDGMENT: Zhongyang (Sean) Meng and Jiashun (Sam) Qian have been ordered to pay pecuniary penalties of $180,000 and $130,000 respectively for market manipulation and disclosure breaches involving Oceania Natural Limited (ONL) shares.

Feedback form Class exemptions for small co operatives and irrigation companies

Consultation paper Class exemptions for small co operatives and irrigation companies

Conflicts of interest - OIA request

OIA regarding conflicts of interest.

Review of credit card repayment insurance products

OIA request regarding Review of credit card repayment insurance products

Impact of Russia Sanctions on AML/CFT reporting entities

An update from the three AML/CFT Act supervisors to reporting entities on what is required of them under the Russia Sanctions Act 2022.

Whistleblowing information - OIA request

OIA request regarding whistleblowing information.

Exemption Notice - Financial Markets Conduct JP Morgan Chase Bank N.A.

This notice is the Financial Markets Conduct (JP Morgan Chase Bank N.A.) Exemption Notice 2022.