Document Library

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

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Mark Joseph Schroeder and Justin William Prain - Judgment

High Court Judgment in the case against Mark Joseph Schroeder and Justin William Prain.

Consultation Corporate vehicles used to manage costs in communal facilities for real property FMC Act designation and exemption

FMA consultation on exempting property cost-sharing companies from FMC Act rules, focusing on their non-investment purpose and limited financial risk.

Vivier and Company Limited - Judgment

High Court Judgment in the case against Vivier and Company Limited on 25 September 2015.

Exemption Notice - Financial Markets Conduct IG Markets Limited

Financial Markets Conduct (IG Markets Limited) Exemption Notice 2015

Consultation Paper Employee Share Schemes

This consultation is for companies, offerors, legal advisers. It aims to seek feedback on possible exemptions for employee share purchase schemes

IPOs under the Financial Markets Conduct Act 2013 research report

Research reports for IPOs under the Financial Markets Conduct Act 2013

Exemption Notice - Securities Act Lloyds Banking Group 2015

Securities Act Exemption Notice 2015: Lloyds Banking Group.

First Mortgage and First Mortgage PIE Trust Waiver Notice

First Mortgage and First Mortgage PIE Trust - Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary

Exemption notice - Financial Reporting Act Lloyds Banking Group

Financial Reporting Act (Lloyds Banking Group) Exemption Notice 2015

PTT Ltd - Judgment

The High Court Judgment in the case against PTT Ltd 4 September 2015.

Exemption Notice 2015 - Securities Act Augusta Funds Management Limited Sherbrooke Road Partnership

Securities Act Augusta Funds Management Limited Sherbrooke Road Partnership Exemption Notice 2015

Exemption Notice - Financial Markets Conduct CBL Corporation Limited and CBLNZ Limited

Financial Markets Conduct (CBL Corporation Limited and CBLNZ Limited) Exemption Notice 2016

Consultation paper auditor regulation act amendmment

FMA consultation on updates to auditor licensing and firm registration standards, reflecting changes to the Auditor Regulation Act and related terminology.

Consultation paper scrip offers in takeovers

FMA consultation on whether to grant a class exemption for scrip offers in takeovers under the FMC Act, focusing on disclosure and market impact.

Guide to market misconduct risks for MIS managers

This information sheet is to help Managed Investment Scheme (MIS) managers understand how to manage market misconduct risks in trading activity.

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