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UDC Finance Limited Waiver Notice - PDS consideration unnecessary

UDC Finance Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 - PDS consideration unnecessary. June 2017.

Consultation paper Robo advice exemption

This consultation is for financial advisers, financial product providers, consumers and other interested parties. It seeks feedback on the exemption proposal to facilitate the provision of personalised robo-advice.

Jeffrey Peter Honey - Sentencing notes

Sentencing notes, district court at Auckland in the case against Jeffrey Peter Honey, 13 June 2017.

KiwiSaver annual statements methodology notice

FMA sets out 2017 KiwiSaver fee calculation methodology for providers to disclose annual total fees per member under the FMC Act.

Amendment Notice 2017 FMC Shares in Investment Companies Designation

The amendment notice amends the Financial Markets Conduct (Shares in Investment Companies) Designation Notice 2017 which came into force on the 19 May 2017.

Investor Confidence Survey 2017

The FMA carried out investor research measuring attitudes towards, and investment in New Zealand’s financial markets. The survey was conducted by Colmar Brunton in 2017.

Licensing guide - FMC Act

FMA guide outlines 4 key steps of preparation tips to successfully apply for a licence under the FMC Act, including legal requirements, gaps, Apply online and Meet with us early.

Consultation Proposed exemption from obligation to prepare scheme financial statements for bundled unit trusts

This consultation is for: managers, supervisors, auditors, administration managers, investors. It aims to: seek feedback on the exemption proposal for bundled unit trusts.

Exemption notice - Financial Advisers Certified Investment Management Analyst

Financial Advisers (Certified Investment Management Analyst) Exemption Notice 2017.

Regulatory Impact Statement: Designation of shares in investment companies 2017

This document is for investment companies, managers, advisers. It discusses a class designation of certain shares in investment companies as managed investment products.

Exemption Notice - Financial Markets Conduct KiwiSaver Annual Statement Fees

Financial Markets Conduct (KiwiSaver Annual Statement Fees) Exemption Notice 2017

IMF financial system stability assessment 2017

This report is based on the work of the Financial Sector Assessment Program (FSAP) missions that visited New Zealand in August 16–September 7, 2016 and November 2–17, 2016.

IMF 2016 review of NZ

The FSAP is a comprehensive assessment of the country’s financial sector and was coordinated by the Reserve Bank of New Zealand (RBNZ) on behalf of the members of New Zealand’s Council of Financial Regulators, which includes the FMA, the Treasury and MBIE. New Zealand’s prudential and securities regulation was tested against international principles and practices.

Exemption notice - Mayfield Hinds Irrigation Notice

FMC Exemption notice issued to Mayfield Hinds Irrigation Scheme 2017

FMC (NZX Main Board/Debt Market Listing Rules) Approval of Rule Change Notice 2017)

The changes approved in this notice are: a new NZX Corporate Governance Code that will replace existing Appendix 16 to the Listing Rules, changes to the Listing Rule 10.4.5, changes to references to the title of Appendix 16, and correction of a typographical error.

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