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Exemption Notice - Southern Pastures

Financial Markets Conduct Exemption Notice 2021: Southern Pastures.

Exemption Notice - Corporate Trustees

Corporate Trustees Exemption Notice 2021

Exemption Notice - Christchurch City Holdings Limited Sustainable Bond Offer

The notice exempts Christchurch City Holdings Limited (CCHL), subject to conditions, from the disclosure, governance, and financial reporting requirements in Parts 3, 4 and 7 of the Financial Markets Conduct Act 2013 (the Act) in relation to offers of ‘sustainable’, ‘sustainability’, ‘green’ ‘social’, or similar bonds (Sustainable Bonds) issued under CCHL’s sustainability framework (Sustainability Framework).

Exemption Notice - Fonterra Shareholders Fund 2021

Fonterra Shareholders Fund Exemption Notice 2021

Council of Financial Regulators (CoFR) - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Council of Financial Regulators (Reserve Bank of New Zealand; FMA; The Treasury; Ministry of Business, Innovation and Employment (MBIE) and Commerce Commission

Advertising offers of financial products under the FMC Act guidance

FMA guidance on advertising financial products under the FMC Act, covering fair dealing rules, disclosure, and compliance expectations.

Proposed advertising guidance submissions report

Submissions report: Proposed guidance on advertising offers, October 2021

Exemption notice - Financial Markets Conduct (Kiwibank Limited-Offer of PPS)

Financial Markets Conduct (Kiwibank Limited-Offer of PPS) Exemption Notice 2021

Licensing application pack - Overseas Auditors

FMA application pack for overseas auditors seeking NZ licensing, detailing eligibility, standards, audit experience, and required documents.

Licensing application pack - Overseas Audit firms (Partnership)

FMA application pack for overseas audit partnerships seeking NZ registration, detailing requirements on licensing, fit and proper status, and systems.

Licensing application pack - Overseas Audit firms (Company)

FMA application pack for overseas audit firms seeking NZ registration, outlining requirements for licensing, independence, and reviews.

Persons spreadsheet - Supporting document for Auditors

Persons spreadsheet - Supporting document for Auditors. Complete the relevant columns giving a list of all partners indicating those who are members of a professional body and those who hold practising certificate, the name and website address of the professional body and a link to, any publicly available online register of members published by the body.

Exemption Notice - Financial Markets Conduct (Liberty Financial Group)

Financial Markets Conduct (Liberty Financial Group) Exemption Notice 2021

Self assessment tool cyber security and BCP

Planning for all types of risk is an essential part of any business. As a financial advice provider, clients rely on you to ensure their information is secure, confidential, and available at all times. By taking the time to prepare for the unexpected, you’ll be able to get back on your feet quickly, protecting both your clients and your business. Use this self-assessment tool to see if you’re ready to complete the cyber security and business continuity planning section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply. *

Du Val Group NZ Limited - Direction Order

FMA Direction Order to Du Val Group NZ Limited, 4 October 2021.

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