Document Library

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

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ASX 24 Obligations Review 2018

The FMA is required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations.The ASX 24 Obigations Review 2018 covers the period 1 July 2016 to 30 June 2018.

Viaduct and Mutual finance - case verdicts

High Court case verdicts and reasons in the case against Paul Bublitz, Bruce McKay and Richard Blackwood, February 2019.

Viaduct Capital & Mutual Finance - Judgment

High Court verdicts and reasons in the case against Paul Bublitz, Bruce McKay and Richard Blackwood, 21 February 2019.

Bublitz Trial cost - OIA response

OIA response, dated 18 February 2019, rearding R v Bublitz & Ors second trial costs

Expense Disclosure CE Other July Dec 2018

CE expense disclosure for the period 1 July 2018 - 31 December 2018.

Expense Disclosure CE Hospitality July Dec 2018

CE expense disclosure for the period 1 July 2018 - 31 December 2018.

Expense Disclosure CE Travel July Dec 2018

CE expense disclosure for the period 1 July 2018 - 31 December 2018.

Expense Disclosure CE Gifts July Dec 2018

CE gifts and benefits disclosure for the period 1 July 2018 - 31 December 2018

Gifts and Hospitality since 2013 - OIA response

OIA response, dated 15 Feb 2019, requesting information surrounding any gifts and hospitality given to FMA staff by private organisations since 2013.

Financial Advisers Disciplinary Committee decisions - OIA request

OIA respnse, dated 15 February 2019, regarding Financial Advisers Disciplinary Committee (FADC) example cases and decisions

Financial Markets Conduct (NZX Participant Rules) - Approval of Rule Change Notice 2019

This notice approves changes to the Participant Rules that were provided to the FMA by NZX for approval on 18 December 2018 with further minor amendments provided 17 January 2019.

OIA Reporting Enitites

OIA response, dated 5 February 2019, regarding the number of times in 2019 that the FMA requested a reporting entity (RE) seek an audit of its risk assessment

Life Insurer Conduct and Culture 2019

Findings from an FMA and RBNZ review of conduct and culture in New Zealand life insurers.

31 December 2018 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 December 2018

31 December 2018 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 31 December 2018

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