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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 7 of 108

  2. 30 September 2023

    Consultation paper proposed guidance on scheme wind ups

    FMA is considering guidance for Supervisors and (where there is no Supervisor) Managers of registered schemes on the requirements in section 212 (Initial steps in winding up of registered scheme) and section 213 (Winding-up report) of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Consultations, Managed Investment Schemes, Roles, Business, Managed investment schemes
    Type
    PDF, Consultation

  3. 30 September 2023

    Feedback form FMA scheme winding up guidance

    Consultation feedback form: FMA scheme winding up guidance.
    Tags
    Consultations, Managed Investment Schemes, Roles, Business, Managed investment schemes
    Type
    Word document, Consultation

  4. 29 September 2023

    Feedback form Liquidity risk management

    Feedback form of Liquidity risk management draft guidance.
    Tags
    Consultations, Roles, Supervisors, Business, Managed investment schemes
    Type
    Word document

  6. 28 September 2023

    Catalist market operator obligations review 2023

    Findings from the FMA’s review of how well Catalist is meeting its licensed market operator obligations, for the period 1 April 2022 to 31 March 2023.
    Tags
    Roles, Reports and Papers, Business, Market operator, News & Insights
    Type
    PDF

  10. 20 September 2023

    KiwiSaver Annual Report 2023

    The KiwiSaver Annual Report 2023 summarises our activities as a regulator relating to KiwiSaver during the reporting previous financial year.
    Tags
    KiwiSaver providers, Reports and Papers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF

  13. 5 September 2023

    Governance Thematic Review FMA and RBNZ

    This publication reports on the findings from a joint review of 29 entities across the banking, insurance, non-bank deposit taking and investment management sectors to assist boards to meet their obligations and help drive good governance outcomes.
    Tags
    Directors, Banking, Conduct, Reports and Papers, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Roles, Business, News & Insights
    Type
    PDF