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1. 9 February 2018

   Exemption Notice - trueEX LLC

   Financial Markets Conduct Exemption Notice 2018 - trueEX LLC.

2. 7 February 2018

   Designation Amendment Notice MIPs

   Financial Markets Conduct (Shares in Investment Companies) Designation Amendment Notice 2018

3. 7 February 2018

   New Zealand Police - MOU

   MOU concerning consultation, cooperation and the exchange of information between the FMA and New Zealand Police

4. 1 February 2018

   Designation of certain shares in investment companies as managed investment products information sheet

   This information sheet explains the class notice which designates certain shares in investment companies as managed investment products, and the company which issues them as a managed investment scheme.

5. 31 January 2018

   AML/CFT Guide for small financial adviser businesses

   This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).

6. 31 January 2018

   Exemption Notice - The Bank of New York Mellon 2018

   Financial Markets Conduct Exemption Notice 2018 - The Bank of New York Mellon.

7. 30 January 2018

   Expense disclosure CE Gifts July to December 2017

   CE expenses disclosure for the period 1 July 2017 - 31 December 2017

8. 30 January 2018

   Expense disclosure CE Hospitality July to December 2017

   CE expenses disclosure for the period 1 July 2017 - 31 December 2017

9. 30 January 2018

   Expense disclosure CE Travel July to December 2017

   CE expenses disclosure for the period 1 July 2017 - 31 December 2017

10. 31 December 2017

    31 December 2017 Disclose Register KiwiSaver fund updates

    This document is the Disclose Register for KiwiSaver fund updates for 31 December 2017

11. 27 December 2017

    Identity Verification Code of Practice Explanatory Note

    Guidance on electronic identity verification under New Zealand’s AML/CFT regime, clarifying biometric sources, safe harbour, and compliance options.

12. 12 December 2017

    Open letter to managers of collective investment schemes

    Open letter to managers of collective investment schemes ahead of the anti-Money laundering and Countering Financing Terrorism Act 2009.

13. 12 December 2017

    Class legislative notice summary 2017

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted in effect as at 1 December 2017.

14. 12 December 2017

    CPA accredited body report 2017

    This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2016 to 30 June 2017.

15. 12 December 2017

    NZICA accredited body report 2017

    This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2016 to 30 June 2017.