Document Library

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


Found 1619 results. Displaying page 89 of 108

  1. 13 July 2015

    Electricity Authority - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Electricity Authority
  2. 6 July 2015

    Risk indicators and descriptions of managed funds draft guidance

    In December 2014 we consulted on guidance for calculating risk indicators. After consultations, feedback and subsequent discussions with businesses who have been involved in producing draft product disclosure statements, we believe it would be useful to extend that guidance note to cover additional related matters.
  3. 30 June 2015

    User Guide: Annual AML/CFT Report

    The annual report is required by section 60 of New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘the Act’). The annual report applies to activities that are covered by the Act.
  4. 29 June 2015

    NZX Obligations Review 2015

    The Financial Markets Conduct Act 2013 (FMC Act) requires the FMA to carry out a review, at least annually, of how well a licensed market operator is meeting the market operator obligations contained in section 314 of the FMC Act, and to publish a written report. This report was published in 2015.
  5. 26 June 2015

    DIMS providers Calculation of returns for information sheet

    This information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).