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UK recruitment trip - OIA request

OIA response to request for information surrounding the UK recruitment trip 2022

Value for Money discussion document - OIA response

OIA response: Request for Value for Money discussion document

Pencarrow Private Equity Management Limited - Formal Warning

FMA formally warns Pencarrow Private Equity for AML/CFT record-keeping breaches tied to Fund V investments, April–July 2018.

GST modelling on GST changes - OIA request

FMA response to OIA request modelling relating to changes to GST treatment of investment management fees

Kiwisaver funds that move the market - OIA request

Our response to a OIA request relating to Kiwisaver funds moving the market

Trading financial derivates policy - OIA request

OIA response to a request for information on policy on trading financial derivatives

Bullying and harassment statistics - OIA request

OIA response to a request for FMA statistics on bullying and harassment

Exemption notice - Financial Markets Conduct Small Co operatives

This notice provides co-operative companies and industrial and provident societies with a lighter regulatory compliance pathway.

Disclose Register MIS fund updates for 30 June 2022

MIS fund update for 30 June 2022.

Accredited Body Report - NZICA 2022

Findings from the FMA’s review of the adequacy and effectiveness of NZICA’s audit regulatory systems for the period 1 July 2021 to 30 June 2022.

Accredited Body Report - CPA Australia 2022

Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2021 to 30 June 2022

Standard conditions Financial Institutions

Standard conditions for Financial Institutions.

Fair Conduct Programmes information sheet

This information sheet provides information and examples to help entities establish, implement and maintain their fair conduct programmes (FCPs). It will be useful for entities holding or applying for a licence to act as a financial institution under the Financial Markets Conduct Act 2013 (FMC Act), and anyone involved in establishing, implementing and maintaining an FCP.

Financial Institutions Submissions report standard conditions

Collation of written feedback received as part of the FMA’s public consultation on the proposed standard conditions for financial institution licences.

Financial Institutions Regulatory Impact Statement (RIS) standard conditions

This document is for financial institutions, their advisers, and interested parties. It discusses standard conditions for financial institution licences.

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