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1. 6 November 2019

   Class legislative notice summary 2019

   This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 30 October 2019. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.

2. 6 November 2019

   Improving infromation in an equity PDS submissions report

   Response to submissions, May 2018: Improving financial information in an equity PDS

3. 5 November 2019

   Exemption Notice - Fonterra Co-operative Group Limited Insider Trading

   Financial Markets Conduct Exemption Notice 2019: Insider Trading - Fonterra Co-operative Group Limited.

4. 5 November 2019

   Declaration Fit and Proper - Audit firms

   FMA statutory declaration form for audit firms confirming partner fitness and propriety under the Auditor Regulation Act 2011.

5. 5 November 2019

   Declaration Fit and Proper - Audit /Management Partner

   FMA declaration form for audit or management partners to confirm fitness and propriety for audit firm registration under the Act.

6. 5 November 2019

   Declaration - Supervisors licence TRU2.1

   FMA TRU2.1 form includes statutory declaration and checklist for supervisors licence, covering applicant info, governance, and compliance.

7. 1 November 2019

   Reserve Bank of New Zealand (RBNZ) - MOU

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

8. 1 November 2019

   A guide to understanding auditing and assurance 2019

   Plain-language guide explains auditing & assurance for NZ FMC Reporting Entities to help investors understand audit insights.

9. 31 October 2019

   Supervisor Licensing guidance

   This guidance note is for anyone applying: for a licence to be a supervisor, or to replace an expiring supervisor licence, or to vary an existing supervisor licence.

10. 31 October 2019

    Exemption Notice - Financial Advisers GT Nominees Limited

    Financial Advisers (GT Nominees Limited) Exemption Notice 2016.

11. 30 October 2019

    FMA Annual Report 2019

    The FMA Annual Report 2019 details the results we have achieved against our stated intentions.

12. 30 October 2019

    Steven Robertson - High Court sentencing notes

    High Court sentencing notes in the case against Steven Robertson, 30 October 2019.

13. 29 October 2019

    FMA Model Litigant Policy

    FMA litigation policy outlines principles guiding legal conduct, reflecting current law without imposing new legal obligations.

14. 25 October 2019

    Acting on behalf of a customer fact sheet

    A reporting entity is required to verify the identity of persons acting on behalf of a customer and is also required to verify that they have appropriate authority to act on behalf of the customer.

15. 25 October 2019

    AML/CFT - interpretation of a trust as a customer

    The following is a response made by the AML/CFT supervisors to a query questioning whether a trust can be a customer for the Act’s purposes. This clarification is supplemental to the Trusts Fact Sheet: