Document Library

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

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Found 1767 results. Displaying page 36 of 118

12 October 2022

AML/CFT Designated Business Group – Scope Guideline

This guideline is designed to help reporting entities understand which obligations may be shared by members of a designated business group (DBG).
10 October 2022

Consultation FAP Class 2 regulatory returns

This consultation is intended for Class 2 licensed financial advice providers (FAPs).
10 October 2022

Consultation FAP Regulatory Returns Class 1

This consultation document is intended for Class 1 licensed financial advice providers (FAPs).
10 October 2022

Feedback form FAP Regulatory Returns Class 1 Consultation

Feedback form for proposed regulatory returns for licensed Class 1 financial advice providers (FAPs)
10 October 2022

Feedback form FAP Class 2 Regulatory Returns consultation

Feedback form for consultation - Class 2 FAP regulatory returns.
10 October 2022

Questions for FAP Class 2 regulatory returns

Questions you will be asked online when you submit your FAP Class 2 regulatory return.
5 October 2022

Climate risks and the impact on financial statement audits

This document provides clarity for auditors about the expectations for information about climate risks in audit files.
4 October 2022

KiwiSaver Annual Report 2022

KiwiSaver Annual Report published by the FMA 2022.
3 October 2022

Consultation paper guidance accounting records

Consultation paper: Proposed guidance and expectations for keeping proper accounting records
3 October 2022

Feedback form accounting records consultation

Feedback form: consultation proposed guidance for keeping proper accounting records.
30 September 2022

Climate related disclosure Record keeping initial monitoring approach

FMA's initial monitoring approach for climate-related record keeping - to inform and support new climate reporting entities to meet their statutory reporting requirements.
30 September 2022

AIA New Zealand Ltd - Judgment

AIA fined $700K by Auckland High Court for false or misleading representations to customers, per FMA enforcement, Sept 2022.
29 September 2022

FMA Investor checklist

World Investor Week investing plan checklist.
29 September 2022

Catalist market operator obligations review 2022

This report covers the first market obligations review for Catalist, and covers the period from 21 June 2021, the licence commencement date, to 31 March 2022, the end of Catalist’s first reporting period.
27 September 2022

Securities Industry Association submission

Consultation submission from Securities Industry Association, 1 Aug 2013: Practical implications of factsheet on Managing Intermediaries feedback