Document Library

FMA Annual Report 2022

This is the FMA 2021/2022 annual report. Our annual reports detail the results we have achieved against our stated intentions. Our annual reports are a great way to review our operational highlights for each financial year.

Ease of Doing Business Survery 2022

The FMA commissioned FiftyFive5 to conduct research among key stakeholders to understand the effectiveness of their interactions with the FMA and satisfaction with the services provided. This is the seventh year (2022) this stakeholder research has been conducted.

FAP Licensing Application Guide Class 3 questions

This document contains the questions you will be asked when applying for a Class 3 Financial Advice Provider full licence.

Supervisor Licence Certificate - Trustees Executors Limited

Trustees Executors Limited is licensed to act as supervisor for debt securities, registered schemes, and retirement villages in New Zealand.

Supervisors Licence Public Trust

Public Trust is licensed to act as supervisor for debt securities, registered schemes, and retirement villages in New Zealand.

Cigna Life Insurance New Zealand Ltd - Judgment

The Wellington High Court has ordered Cigna Life Insurance New Zealand Limited to pay a final pecuniary penalty of $3,575,000. 

31 December 2022 Disclose Register KiwiSaver fund updates

Disclose Register KiwiSaver fund update for the period ending 31 December 2022.

Bruce Allan Baillie - NZICA decision on appeal

NZICA Bruce Allan Baillie decision on appeal.

Wynyard Group - NZICA decision on appeal

NZICA has released its disciplinary decisions arising from the 2015 PwC audit of the formerly NZX-listed Wynyard Group.

SGX DT Obligations Review 2022

This report covers the FMA’s review of SGX-DT for the period 14 September 2021 (the commencement date of SGX-DT’s licence) to 30 June 2022.

ASX 24 Obligations Review 2022

This review covers the period 1 July 2020 to 30 June 2022 and is our fourth review of ASX 24 since its licence came into effect on 1 December 2014.

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.

FMA cases prosecuted - OIA request

OIA request for information on FMA cases prosecuted

Looking for information?

Document Library