Document Library

Statement of Performance Expectation 2018

Our Statement of Performance Expectations2018 outlines our short-term (annual) performance targets. It should be read in conjunction with our Statement of Intent.

Key findings from the recent re-licensing of supervisors

During 2016 the International Monetary Fund (IMF) undertook a review of the New Zealand financial sector. The Financial Stability Assessment Programme report recommended that the FMA ”continue to engage with Supervisors to ensure that they take a consistent approach to their supervision of Managed Investment Scheme (MIS) managers”

Publishing default information for peer to peer lending services 2018

This guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information. It sets out what ‘default’ means, when licensees must comply with the standard and guidelines on how to publish fair, clear and transparent information.

Auditor regulation and oversight plan 2018-2021

FMA has an obligation to publish an auditor regulation and oversight plan by 30 June each year, for a three year period, setting out our intentions for the regulation and oversight of auditors under the Act. This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. It may also be of interest to issuers, investors and their advisers.

Exemption Notice - Obsidian Contributory Mortgage Scheme

Financial Markets Conduct (Obsidian Contributory Mortgage Scheme) Exemption Notice 2018

Statement of Performance Expectations 2017 to 2018

Compliance assurance programmes information sheet

The information sheet is for entities holding or applying for a licence under the Financial Markets Conduct Act 2013, and anyone involved in the creation, implementation and ongoing operation of a compliance assurance programme.

Exemption notice - SuperLife Workplace Savings Scheme

Financial Markets Conduct (SuperLife Workspace Savings Scheme) Exemption Notice 2018

Consultation Same Class Offers ASX NZX Exemption Notice 2018

This consultation paper is for those who issue and offer listed financial products, investors, legal advisers, and other interested parties. It seeks feedback on a proposed exemption for same class offers of ASX/NZX-quoted financial products.

2018/2019 Annual letter of Expectations

2018 Annual letter of expectations issued by the Minister to the FMA.

Conflicted remuneration (soft commissions) in the life and health insurance industry

This review examines the soft commission structures in place for life and health insurance products and how advisers respond to these incentives. This work forms part of a range of regulatory activities examining conflicted conduct in the insurance sector.

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