Document Library

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

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AML staff for each financial year - OIA response

OIA response, dated 28 September 2018, regarding: Numbers of AML staff and HR for each financial year

The essentials of being a director

This guide is intended to provide company directors and prospective directors with a quick reference and overview of some of the key things they should think about. It outlines some of the legal requirements, ethical considerations and best practice areas for directors to consider, to be effective in their role. It is not intended to be comprehensive and includes links to more detailed resources.

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AML staff for each financial year - OIA response

The essentials of being a director

Director Essentials - IoD

NZX Participant Rule Change Notice - Off Market Trading 2018

Consumer Views of Financial Providers’ Conduct

Expense disclosure CE January to June 2018

Exemption notice - New Zealand Retirement Trust Notice

Exemption notice - Financial Markets Conduct FNZ Group 2018

Exemption notice - Financial Markets Conduct Christchurch City Holdings Limited Subsidiary Balance Date Alignment

AMLCFT optout follow up - OIA response

Forestlands Limited - Judgment

Exemption notice - Financial Markets Conduct Fliway Group Limited

SSC inquiry regarding external security consultants - response

Exemption notice - Financial Markets Conduct Heartland Group

FMA change management - OIA response