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FMA summary of submissions on proposed changes to auditor licensing and audit firm registration standards under the Auditor Regulation Act 2011.
Financial Markets Conduct Act (Garden BidCo Limited) Exemption Notice 2015.
FMA consultation on ending exemptions for charities issuing debt securities, proposing full FMC Act compliance for transparency and investor protection.
This guidance is for managers and supervisors of managed funds. It gives guidance on how to calculate risk indicators, when to update a PDS, how to describe a fund’s volatility, and in certain cases how to name your fund.
This Regulatory Impact Statement (RIS) considers the FMA’s proposed guidance on risk indicators and description of managed funds.
Financial Markets Conduct (CBA Capital Australia Pty Limited) Exemption Notice 2015
Financial Markets Conduct (Goodman Fielder Pty Limited) Exemption Notice 2015
This consultation is for managers, supervisors, and their advisers. It aims to help the industry comply with FMC Regulations for their fund updates and PDSs.
Financial Markets Conduct Exemption Notice 2015: Augusta Funds Management Limited - Shands Road Limited partnership.
This information sheet explains the difference between a broker and a custodian, custodians for wholesale and managed investment scheme (MIS) clients, and custodians’ statutory obligations. We also list examples of different custodial arrangements.
FMA Annual Report 2015.
We are required to report each year on our main KiwiSaver activities. This year’s report covers the period from 1 July 2014 to 30 June 2015, and contains a summary of the statistical returns required to be lodged by KiwiSaver schemes as at 31 March 2015.
This document is the Disclose Register for KiwiSaver fund updates for 30 September 2015
High Court Judgment in the case against Mark Joseph Schroeder and Justin William Prain.
FMA consultation on exempting property cost-sharing companies from FMC Act rules, focusing on their non-investment purpose and limited financial risk.