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16 April 2018

Consultation paper annual declaration and change to standard condition

This consultation is for all market service licensees and seeks to gain feedback on our proposals for an annual declaration of compliance from licensees as part of regulatory returns, and changes to the standard regulatory returns condition.
10 April 2018

Product disclosure statements: understanding investors’ information needs

The purpose of this report is to help issuers and their advisers think about how they can make disclosure information more useful for investors. In the report we summarise feedback from investors about how they use disclosure information.
5 April 2018

Exemption Notice - Financial Markets Conduct Mercer Super Trust

Financial Markets Conduct (Mercer Super Trust) Exemption Notice 2018
31 March 2018

31 March 2018 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 March 2018
31 March 2018

31 March 2018 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 31 March 2018
22 March 2018

Update on the FMA’s ongoing review of insurance replacement business and conflicted conduct

This report follows on from our 2016 report, Replacing life insurance – who benefits? into replacement business activity within the adviser sales channel of the New Zealand life insurance market. It details our findings, the results of our inquiries to date and our expectations for advisers when they are providing advice on replacing insurance policies.
21 March 2018

Exemption Notice - Moorhouse Central Proportionate Ownership Scheme

Financial Markets Conduct (Moorhouse Central Proportionate Ownership Scheme) Exemption Notice 2018
15 March 2018

Fair dealing in advertising and communications – crowdfunding and peer-to-peer lending guidance

The aim of this guidance is to ensure licensed crowdfunding and peer-to-peer lending platforms understand their obligations when advertising or communicating with customers.
13 March 2018

Self select retirement schemes information for scheme managers

This information sheet explains how these schemes are regulated under the Financial Markets Conduct Act 2013 (FMC Act) and what exemptions and waivers may be available.
13 March 2018

Self-select retirement schemes – information for scheme managers
12 March 2018

Consultation: Content of regulatory returns for licensed DI MIS managers and DIMS providers

This consultation is for licensed derivative issuers, managers of managed investment schemes, providers of discretionary investment management services, and other interested parties. It aims to gain feedback on our proposals for regulatory returns for licensed DI, MIS managers and DIMS providers.
12 March 2018

MIS regulatory returns sample tables

This spreadsheet should be considered an example of the regulatory return information required by MIS managers.
12 March 2018

Annual Regulatory returns for licensed Derivative Issuers questions

Annual regulatory return information to be provided by licensed Discretionary Investment Management Services (DIMS) providers to the FMA
12 March 2018

Annual Regulatory returns for DIMS providers questions

Annual regulatory return information to be provided by licensed Discretionary Investment Management Services (DIMS) providers to the FMA.
12 March 2018

FMA’s media release on 12 March 2018 - OIA response

OIA response to FMA’s media release on 12 March 2018 regarding the five businesses being warned for Anti-Money Laundering/Countering Financing of Terrorism (AML/CFT) failures. Response dated 5 April 2018.