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1 June 2014

Certificate of compliance and authority to apply applicant or their authorised person

Certification of Applicant's compliance with requirements and authority to apply for market service licence under Part 6 of the FMC Act 2013. This is relevant to Crowd funding; Peer-to-peer; MIS; DIMS; derivative issuers and independent trustee applicants.
1 June 2014

FMA’s supervision of Anti-Money Laundering and Countering Financing of Terrorism

This 2014 document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).
1 June 2014

Declaration by current proposed senior manager of licence applicant

Declaration to be completed by a current proposed senior manager of a licence applicant for all applications for roles under the FMC Act 2013.
1 June 2014

Declaration by current proposed director of licence applicant

Declaration to be completed by current or proposed directors of a licence applicant for market services licences under the FMC Act 2013.
1 June 2014

Curriculum vitae of management team member of licence applicant

Form to be completed with details of the Curriculum vitae of management team members of a licence applicant for all applications under the FMC Act 2013.
1 June 2014

Declaration by independent trustee individual

Declaration form to be completed by individual independent trustees.
1 June 2014

Auditor regulation and oversight plan 2014 2017

Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2014-2017 period
1 June 2014

Investor Confidence Research 2014

The Investor confidence Research report 2014 measures attitudes towards and investment in New Zealand’s financial markets. The research was carried out online using Colmar Brunton’s omnibus.
30 May 2014

new governance and accountability framework for mis managers and their licensed supervisors 2014

The FMC Act introduces an accountability framework for managed investment schemes (MIS). The requirements include a statutory duty of care on both managers and supervisors of managed investment schemes. Both must also act in the best interests of investors. Managers and supervisors need to have a clear understanding of their respective roles and understand they will be held to account for their actions.
28 May 2014

Fonterra Shareholders' Market Rules - Approval of market rules notice 2014

This notice comes into force on 28 May 2014. The notice allows NZX to replace FSM Rules dated 14 May 2013 with FSM rules dated 1 April 2014
26 May 2014

Exemption Notice - Securities Act Serko Limited

Securities Act Exemption Notice 2014: Serko Limited.
1 May 2014

Governance and accountability framework for restricted schemes and their trustees information sheet

The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for restricted schemes and their trustees.
1 May 2014

Governance and accountability framework for debt issuers and their licensed supervisors

The Financial Markets Conduct Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors.
30 April 2014

Securities Trustees and Statutory Supervisors - Feedback from monitoring visits

This monitoring report and the guidance issued by us in June 2013 on Monitoring by Securities Trustees and Statutory Supervisors have been designed to help licensees move towards best standards of compliance.
7 April 2014

Disclosure of fees paid to auditors by listed issuers 2014

As part of our thematic review, we reviewed the disclosure of fees paid to the external auditors of a sample of listed issuers for balance dates in 2012. This report summarises our findings and the concerns we have about the current quality of disclosure of audit and non-audit fees.