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This document is for issuers listed on Catalist Markets, their advisers, and other interested parties. It discusses exemptions to enable Catalist listed issuers to make ‘same class’ offers and small offers of $2 million or less through the market.
Financial Markets Conduct (Denarau Villas) Exemption Notice 2021
Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2014 report.
OIA response, dated 26 May 2021, regarding a market research query surrounding number of licenses issued by the FMA
Financial Markets Conduct Exemption Notice 2021: Silverwood Land 2015 Limited Partnership
OIA response, dated 21 May 2021, costs incurred from investigation commencement to completion by FMA and FADC relating to FADC case reference FADC 010
This report is for FMA-licensed entities and their key stakeholders. It gives feedback on key findings of the FMA’s September 2020 survey on industry readiness for negative interest rates.
Supreme Court Judgment in the application of appeal by Steven Robertson, 10 May 2021.
Explore CoFR’s Consumer Vulnerability Framework with guidance to help financial firms support at-risk consumers and improve service delivery.
Financial Markets Conduct (Evergreen Retirement Trust) Exemption Notice 2021
Class legislative notice summary, 30 April 2021
Kiwisaver FUM forecasts/projections OIA response, dated 30 April 2021
Financial Markets Conduct Exemption Notice 2021: Spark New Zealand Limited Group.
In December 2020 we published a consultation paper seeking input from KiwiSaver managers, KiwiSaver supervisors, other MIS managers, and other interested parties, on the regulatory approach to the statutory requirement that KiwiSaver fees must not be unreasonable and the related overarching statutory duties. This report summarises the feedback we received.
This guidance note updated in 2021 is intended for the managers and supervisors of KiwiSaver schemes. It sets out the criteria against which the Financial Markets Authority (FMA) will assess the reasonableness of performance fees.