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Administrators of financial benchmarks BMA.1 Application form

AML/CFT Regulation Update 2021

New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) system is intended to adapt as money laundering and terrorism financing risks evolve. Two regulations, that are a key part of the AML/CFT system, were due to expire. These are the AML/CFT (Exemptions) Regulations 2011 which were scheduled to expire on 30 June 2020, and the AML/CFT (Definitions) Regulations 2011 which partially expire on 27 July 2021.

FAP Licensing Application Guide Class 1 questions

This document contains the questions you will be asked when applying for a Class 1 Financial Advice Provider full licence.

30 June 2021 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 30 June 2021

30 June 2021 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 30 June 2021

Filing of financial statements: review findings and guidance

This document provides a summary of the key findings and insights from our monitoring review of financial reporting filing obligations. It also provides guidance and sets our expectations for future reporting periods.

Exemption notice - Financial Markets Conduct (FNZ Group) 2021

Financial Markets Conduct (FNZ Group) Exemption Notice 2021

Exemption Notice - Financial Markets Conduct (Foodstuffs Provident Fund)

Financial Markets Conduct (Foodstuffs Provident Fund) Exemption Notice 2021

ICE Futures US general obligations review 2021

The US Commodity Futures Trading Commission (CFTC) is IFUS’s primary regulator. Our review therefore focuses on whether the CFTC was satisfied with IFUS’s compliance during the review period. 2019-2020 ICE Futures US general obligations review.

ICE Futures Europe general obligations review 2021

The UK Financial Conduct Authority (FCA) is IFEU’s primary regulator. Our review therefore focuses on whether the FCA was satisfied with IFEU’s compliance during the review period. 2021 ICE Futures Europe general obligations review

NZX Market Operator Obligations Review 2021

Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2020

Statement of Performance Expectations 2021 to 2022

Our Statement of Performance Expectations outlines our short-term (annual) performance targets. It should be read in conjunction with our Statement of Intent. This is the 2021 to 2022 report.

MIS liquidity risk management review

This report contains recommendations on liquidity stress testing frameworks, processes and procedures, following the August 2020 self-assessment survey completed by regulated entities for a two-year period ending 31 December 2019. It will be useful for directors, senior management and investment personnel of managed investment schemes.

Financial Markets Conduct (Catalist Public Market) Approval of Market Rules Notice 2021

New Zealand Financial Product Market Licence Catalist Public Market 2021

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