Document Library

Samantha Barrass bio

Bio for Samantha Barrass who is appointed the new Chief Executive of the FMA, beginning her role in early 2022.

Exemption Notice - Financial Markets Conduct (Firefly Resources Limited)

Financial Markets Conduct (Firefly Resources Limited) Exemption Notice 2021

OIAP Insider trading misconduct statistics

OIAP response dated 7 September 2021, Insider trading misconduct statistics - A request for statistics relating to insider trading misconduct

COVID19 - Vaccination Information privacy notice for FMA Visitors

The FMA’s approach to managing the COVID-19 pandemic is to protect the health, safety and welfare of our staff, their families and whānau, our visitors and to maintain our ability to continue delivering services.

FAP Licensing Application Guide Class 2 questions

This document contains the questions you will be asked when applying for a Class 2 Financial Advice Provider full licence.

Customer vulnerability – our expectations for providers

Customer vulnerability – our expectations for providers. This information sheet explains the FMA’s expectations for financial services firms to prioritise their customer vulnerability practices, focusing on areas we consider immediate priorities, updated Sept 2021.

WIW 2021 Resource pack

Campaign resource kit for participants in World Investor Week 2021.

Sharesies Limited - Formal Warning

FMA issued a formal warning to Sharesies Limited and Sharesies Nominee Limited for failing to have sufficient anti-money laundering procedures, policies, and controls in place.

COVID-19 - Exemption of persons from reguirements of the Publich Health Response

Gazette notice issued by the Ministry of Health indicating which businesses can operate at Level 4, COVID-19

Exemption notice - Genworth Financial Mortgage Insurance Pty Limited

Financial Markets Conduct (Genworth Financial Mortgage Insurance Pty Limited) Exemption Notice 2021

Standard conditions overseas audit firms

This document serves as a guide to the standard conditions attached to licences of overseas auditors operating in New Zealand.

OIAP Referrals to FMA under FSP Act

OIAP response dated 12 August 2021, Referrals to FMA under FSP Act - Request for statistics relating to referrals to the FMA under the FSP Act

Feedback form Proposed financial reporting exemptions for insolvent FMC entities

Feedback form: Proposed financial reporting exemptions for insolvent FMC entities

Consultation Proposed financial reporting exemptions for insolvent FMC entities

Domain Name Commission Limited - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Domain Name Commission Limited

Looking for information?

Document Library