Document Library

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

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Certification process - new KiwiSaver, superannuation and workplace savings schemes

The FMA certification process for the registration of new KiwiSaver, superannuation and workplace savings schemes

Exemption notice - Securities Act Augusta Funds Management Limited Southgate Proportionate Ownership Scheme

Securities Act Augusta Funds Management Limited Southgate Proportionate Ownership Scheme Exemption Notice 2015

Going Public - a directors guide

FMA & IoD guide helps NZ directors evaluate going public & understand IPO processes without covering full legal obligations.

Mark - Joseph Schroeder and Justin William Prain - Reserved Judgment

Reserved Judgment of the District Court of Christchurch in the case against Mark Joseph Schroeder and Justin William Prain.

FMA DIMS seminar presentation

FMA seminar outlines definition of DIMS, DIMS types, licensing, contingency exemptions, and client agreement requirements for financial advisers.

Westpac - Settlement Agreement

Settlement agreement with Westpac New Zealand Limited; Westpac Banking Corporation regarding interest rate swaps sales to certain rural customers, 16 February 2015.

Sean Wood - Reserved Judgment

Reserved Judgment in the case against Sean Wood.

Expense disclosure CE Gifts 2014 Jul Dec

CE gifts and hospitality disclosure for the period 1 July 2014 - 31 December 2014.

Expense disclosure CE Hospitality 2014 Jul Dec

CE expenses disclosure for the period 1 July 2014 - 31 December 2013

Expense disclosure CE 2014 Jul Dec

CE expenses disclosure for the period 1 July 2014 - 31 December 2014

Expense disclosure CE Travel 2014 Jul Dec

CE expenses disclosure for the period 1 July 2014 - 31 December 2014

Institute of Directors - Directors guide

FMA & IoD guide offers NZ directors key legal duties, governance tips, and risk insights to navigate boardroom responsibilities.

2015 Letter from the Minister

Annual letter from the Minister 2015.

Response to submissions Consultation paper Personalised DIMS.1

Summarises FMA responses to industry feedback on proposed Personalised DIMS standards for AFAs under the Financial Advisers Act 2008.

Consultation Personalised DIMS response to submissions [unused]

FMA response to feedback on proposed eligibility and standards for AFAs offering Personalised DIMS under the Financial Advisers Act 2008.

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