Document Library

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

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31 March 2019 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 31 March 2019

Richard Owen Dey - Notice of decision NZICA

NZICA decision on Richard Owen Dey outlines 2019 audit ethics breaches, including partner rotation and documentation failures.

Michael Derek Wood - notice of decision NZICA

NZICA decision on Michael Derek Wood details 2019 ethics breach in audit review role, resulting in reprimand & cost order.

Spending on advertising - OIA response

OIA Request regarding spending on advertising

Complaints against AFAs and RFAs - OIA response

OIA, dated 22/03/2019, regarding complaints made to the FMA about Authorised Financial Advisers and Registered Financial Advisers over the last five years

Bublitz First Trial costs - OIA response

OIA response, dated 14 March 2019, regarding the cost breakdown of the Bublitz First Trial

ANZ Bank New Zealand Limited - Appeal Judgment

Judgment of the Court of Appeal in the case against ANZ Bank New Zealand Limited, 5 March 2019.

ASX 24 Obligations Review 2018

The FMA is required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations.The ASX 24 Obigations Review 2018 covers the period 1 July 2016 to 30 June 2018.