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1. 5 July 2021

   CLSA Premium NZ Ltd - Judgment

   High Court Judgment: Financial Markets Authority v CLSAP - 5 July 2021

2. 1 July 2021

   AML/CFT Regulation Update 2021

   New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) system is intended to adapt as money laundering and terrorism financing risks evolve. Two regulations, that are a key part of the AML/CFT system, were due to expire. These are the AML/CFT (Exemptions) Regulations 2011 which were scheduled to expire on 30 June 2020, and the AML/CFT (Definitions) Regulations 2011 which partially expire on 27 July 2021.

3. 1 July 2021

   Administrators of financial benchmarks BMA.2 Application checklist and declaration determination

   Administrators of financial benchmarks BMA.2 Application checklist and declaration.

4. 1 July 2021

   Administrators of financial benchmarks BMA3 Fit and Proper declarations form

   Administrators of financial benchmarks BMA3 Fit and Proper declarations form.

5. 1 July 2021

   Administrators of financial benchmarks BMA.1 Application form

   Administrators of financial benchmarks BMA.1 Application form

6. 1 July 2021

   FAP Licensing Application Guide Class 1 questions

   FAP Licensing Application Guide Class 1 questions: This document contains the questions you will be asked when applying for a Class 1 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.

7. 30 June 2021

   30 June 2021 Disclose Register KiwiSaver fund updates

   This document is the Disclose Register for KiwiSaver fund updates for 30 June 2021

8. 30 June 2021

   30 June 2021 Disclose Register MIS fund updates

   This document is the Disclose Register for MIS fund updates for 30 June 2021

9. 30 June 2021

   Filing of financial statements: review findings and guidance

   This document provides a summary of the key findings and insights from our monitoring review of financial reporting filing obligations. It also provides guidance and sets our expectations for future reporting periods.

10. 30 June 2021

    Exemption Notice - Financial Markets Conduct (Foodstuffs Provident Fund)

    Financial Markets Conduct (Foodstuffs Provident Fund) Exemption Notice 2021

11. 30 June 2021

    Exemption notice - Financial Markets Conduct (FNZ Group) 2021

    Financial Markets Conduct (FNZ Group) Exemption Notice 2021

12. 29 June 2021

    ICE Futures Europe general obligations review 2021

    The UK Financial Conduct Authority (FCA) is IFEU’s primary regulator. Our review therefore focuses on whether the FCA was satisfied with IFEU’s compliance during the review period. 2021 ICE Futures Europe general obligations review

13. 29 June 2021

    ICE Futures US general obligations review 2021

    The US Commodity Futures Trading Commission (CFTC) is IFUS’s primary regulator. Our review therefore focuses on whether the CFTC was satisfied with IFUS’s compliance during the review period. 2019-2020 ICE Futures US general obligations review.

14. 28 June 2021

    NZX Market Operator Obligations Review 2021

    Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2020

15. 24 June 2021

    Statement of Performance Expectations 2021 to 2022

    Our Statement of Performance Expectations outlines our short-term (annual) performance targets. It should be read in conjunction with our Statement of Intent. This is the 2021 to 2022 report.