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Consultation Response to submissions regulatory returns DI MIS DIMS

Response to consultation submissions: Content of regulatory returns for licensed DI, MIS managers and DIMS providers.

Exemption notice - Financial Markets Conduct Trustee Executors Limited

Financial Markets Conduct (Trustees Executors Limited) Exemption Notice 2021

Exemption Notice - QBE Group 2021

Financial Markets Conduct Exemption Notice 2021: QBE Group.

Exemption notice - Financial Markets Conduct Merrill Lynch Pierce Fenner Smith Incorporated

Financial Markets Conduct Merrill Lynch Pierce Fenner Smith Incorporated Exemption Notice 2021

Exemption notice - EML Payment Solutions

EML Payment Solutions Exemption Notice 2021

2021/22 Letter of Expectations from the Minister

Consultation paper Proposed class exemption for restricted schemes

Consultation paper: Proposed class exemption for restricted schemes from certain disclosure and reporting obligations.

Proposed exemption restricted schemes feedback form

Consultation feedback form: restricted schemes

Financial Markets Conduct (Australian Licensees) Exemption Notice 2020 guidance note

This guidance note 2020 provides an overview of the exemption notice relating to Australian advice businesses giving advice to New Zealand retail clients, and the circumstances in which a business may be able to rely on it.

Consultation Recognition of Australian adviser qualifications submissions report

The following submissions were received in response to our consultation on recognition of Australian adviser qualifications.

Exemption notice - Allianz Australia Insurance Limited

Allianz Australia Insurance Limited Exemption Notice 2021.

Exemption notice - Financial Markets Conduct ICAP Brokers Pty Limited and ICAP New Zealand Limited

Financial Markets Conduct (ICAP Brokers Pty Limited and ICAP New Zealand Limited) Exemption Notice 2021

Exemption notice - Financial Markets Conduct Insider Trading Livestock Improvement Corporation Limited

Financial Markets Conduct (Insider Trading - Livestock Improvement Corporation Limited) Exemption Notice 2021

NZX Derivatives Market Rules Approval of Rule Change Notice Feb 2021

Pursuant to section 331 of the Act, the FMA approves changes to the NZX Derivatives Market Rules in accordance with the proposed amendments provided for approval by NZX to the FMA on 22 December 2020.

ANZ Bank New Zealand Limited - High Court Judgment

High Court Judgment on FMA’s 2020 civil case against ANZ NZ for alleged breaches of the Financial Markets Conduct Act 2013.

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