Document Library

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

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Questions for FAP Class 2 regulatory returns

Questions you will be asked online when you submit your FAP Class 2 regulatory return.

Feedback form FAP Regulatory Returns Class 1 Consultation

Feedback form for proposed regulatory returns for licensed Class 1 financial advice providers (FAPs)

Feedback form FAP Class 2 Regulatory Returns consultation

Feedback form for consultation - Class 2 FAP regulatory returns.

Consultation FAP Regulatory Returns Class 1

This consultation document is intended for Class 1 licensed financial advice providers (FAPs).

Consultation FAP Class 2 regulatory returns

This consultation is intended for Class 2 licensed financial advice providers (FAPs).

Climate risks and the impact on financial statement audits

This document provides clarity for auditors about the expectations for information about climate risks in audit files.

KiwiSaver Annual Report 2022

KiwiSaver Annual Report published by the FMA 2022.

Feedback form accounting records consultation

Feedback form: consultation proposed guidance for keeping proper accounting records.

Consultation paper guidance accounting records

Consultation paper: Proposed guidance and expectations for keeping proper accounting records

Climate related disclosure Record keeping initial monitoring approach

FMA's initial monitoring approach for climate-related record keeping - to inform and support new climate reporting entities to meet their statutory reporting requirements.

AIA New Zealand Ltd - Judgment

AIA fined $700K by Auckland High Court for false or misleading representations to customers, per FMA enforcement, Sept 2022.

Catalist market operator obligations review 2022

This report covers the first market obligations review for Catalist, and covers the period from 21 June 2021, the licence commencement date, to 31 March 2022, the end of Catalist’s first reporting period.

FMA Investor checklist

World Investor Week investing plan checklist.

Feedback form Client money and property service guidance

Feedback form for consultation client money and property services guidance.

Consultation paper Client money or property service provider guidance

Consultation on proposed guidance on the obligations for client money or property service providers.

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