Document Library

Approach to oversight of financial statements

In this document we provide a summary of our main work in monitoring compliance with financial reporting obligations by FMC reporting entities and registered schemes (regulated entities) from 2022-2025.

Class legislative notice summary 2022

This is a summary of the Financial Markets Conduct Act class legislative notices we have granted as at 1 June 2022. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.

FMA advice reasonable grounds consultation feedback form

Feedback form for consultation paper: Proposed guidance on reasonable grounds for financial advice about IPOs and listed equity securities

FMA DIMS SC2 consultation feedback form

Feedback form for consultation paper: Proposed variation to Standard Condition 2 of Standard Conditions for DIMS licences – Incidental financial advice

Exemption Notice - Financial Markets Conduct Futurity Investment Group Limited

The Financial Markets Conduct (Futurity Investment Group Limited) Exemption Notice 2022 exempts Futurity Investment Group Limited (the manager), as manager of Futurity managed investment schemes in New Zealand, principally from section 156(1) of the Financial Markets Conduct Act 2013 (the Act) subject to certain conditions.

FMA consultation on Code Standard 3 Guidance

Consultation paper: Proposed guidance on reasonable grounds for financial advice about IPOs and listed equity securities

Exemption Notice - Financial Markets Conduct Goodman Group

The Financial Markets Conduct (Goodman Group) Exemption Notice 2022 provides relief for a five year period in relation to the offer of stapled securities to employees in New Zealand under an employee incentive scheme.

FMA DIMS SC2 consultation paper

Consultation paper: Proposed variation to Standard Condition 2 of Standard Conditions for DIMS licences – Incidental financial advice

30 June 2022 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for period ending 30 June 2022

Statement of Performance Expectations 2022 to 2023

FMA Statement of Performance Expectations 2022 23

NZX Obligations Review 2022

Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2021.

Exemption Notice - Financial Markets Conduct Bonus Bonds 2022

Financial Markets Conduct (Bonus Bonds) Exemption Notice 2022, PDF.

Auditor Regulation and Oversight Plan 2022 2025

The plan sets out how the FMA aims to improve the audit quality of Financial Markets Conduct reporting entities.

Investor Confidence Report 2022

The Investor confidence Research report 2022 measures attitudes towards and investment in New Zealand’s financial markets.

CE briefing documents - OIA request

OIA regarding request for information about handover briefings to new FMA CE

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