Document Library

Presentation Scenario analysis in the CRD regime

Presentation by the FMA - Scenario analysis in the Climate Related Disclosure regime.

The Conduct of Financial Institutions regime presentation by Michael Hewes Financial Markets Law Conference

FMA presentation on CoFI regime covers licensing, fair conduct programmes, sales incentives, and governance expectations for financial institutions.

8 steps to apply for a Financial Insitituion licence

FMA guide outlines 8 essential steps to apply for a financial institution licence under CoFI, including FCP setup and application tips.

Licensing guide -Financial Institutions

FMA guide for applying for a financial institution licence under the CoFI regime, outlining requirements, Fair Conduct Programme, and process.

Submission form Proposed standard condition on business continuity and technology systems

Consultation paper Proposed standard condition on business continuity and technology systems

Consultation on a proposed new business continuity and technology systems standard condition for managers of registered schemes (but not restricted schemes), DIMS providers, derivatives issuers, peer-to-peer lending providers and crowdfunding service providers.

Consultation paper Climate related disclosures timing mismatch

The FMA is consulting on a proposed exemption to exempt certain climate reporting entities from the requirement to include a link to their climate statements in their annual report for a 2-year period. Submissions close 7 August 2023.

Feedback form Climate related disclosures timing mismatch Copy

Feedback form Climate related disclosures timing mismatch.

Validus - Stop Order

FMA makes permanent stop order against Validus after appeal is dismissed in the High Court.

VALIDUS FZCO v FINANCIAL MARKETS AUTHORITY [2023] NZHC 1701

Auditor Regulation and Oversight Plan 2023 2026

Auditor regulation and oversight plan report for the period 2023-2026

Staff Statistics OIA

OIA request for Statistics on Staff salaries, turnover and diversity.

Statement of Performance Expectations 2023 to 2024

This SPE sets out our financial forecast for the financial year 1 July 2023 to 30 June 2024. It is prepared in line with the Crown Entities Act 2004 and should be read together with the FMA’s Statement of Intent 2021-2024.

FMA modelling on GST on certain KiwiSaver fees - OIA request

OIA Request for FMA modelling on GST on certain KiwiSaver fees

Consumer Guide Capital Notes

Capital notes and similar products such as perpetual subordinated notes or hybrid securities.

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