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Document Library

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

Found 1606 results. Displaying page 27 of 108

  1. 19 January 2022

    KiwiSaver Switching Behaviour KiwiSaver Member Stories

    The FMA commissioned PwC’s behavioural science team to examine KiwiSaver switching behaviour during the height of COVID-19 market volatility, with data provided by 11 KiwiSaver providers.
    Tags
    Reports and Papers, KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business, News & Insights
    Type
    PDF

  3. 12 January 2022

    Statement of Performance Expectations 2016

    The Statement of Performance Expectations (SPE) is one of two documents that set out how we measure our
    future performance and report on the progress of that performance against our performance targets. This is our 2016 report.
    Tags
    Type
    PDF, Statement of Performance Expectations, Corporate publications

  7. 22 December 2021

    Medical Kiwi Limited - Enforceable Undertaking

    In August 2020, Medical Kiwi offered shares to potential investors via the online crowd funding platform PledgeMe Limited. These undertakings relate to misleading statements by Medical Kiwimade in August 2020 in relation to the Offer.
    Tags
    Enforceable Undertaking, Enforcement
    Type
    PDF

  9. 15 December 2021

    Fonterra Shareholders' Market Listing Rules - Approval of Change Notice 2021

    The amendments to the FSM Listing Rules are generally consequential on external factors relating to Fonterra, and include the following: FSM Listing Rule 1.8.2, Rules 1.8.2(c), 1.8.4(a) and 6.1.2(a)(ix) and (x) and the Glossary, and, FSM Listing Rule 6.1.2 are amended
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  10. 13 December 2021

    Squirrel P2P Trustee Limited - Public Warning

    Public warning issued under Section 9 of the Financial Markets Authority Act 2011 regarding Squirrel P2P Trustee Limited, FSP 415167. 13 December 2021.
    Tags
    Enforcement
    Type
    PDF

  11. 13 December 2021

    Financial Services Complaints Limited - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Financial Services Complaints Limited
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  13. 10 December 2021

    Outsourcing CDD to a third party provider Reminder to FMA and DIA reporting entities

    While third-party providers can provide a useful service, both the DIA and FMA are aware of an increasing number of reporting entities taking a view that the third-party provider “just takes care of it all” and that all CDD requirements are then met. This is not the case. Read more about outsourcing your CDD requirments.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    PDF

  15. 6 December 2021

    AML/CFT Sector Risk Assessment 2021

    Our Sector Risk Assessment (SRA) helps us and the Reporting Entities we supervise understand the risks of money-laundering
    (ML) and terrorism financing (TF) in each sector. This SRA
    replaces our SRA published in 2017.
    Tags
    AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF