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1. 1 November 2018

   Determining whether you are acquiring a business or assets guidance

   This guidance sets out our view of what constitutes a ‘business’ for these purposes, as opposed to an asset. It also sets out additional information issuers should consider disclosing for asset acquisitions.

2. 26 June 2015

   DIMS providers Calculation of returns for information sheet

   This information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).

3. 18 November 2019

   Audit quality Director's guide 2019

   The Audit Quality Directors Guide 2019 handbook is aimed at directors of FMCreporting entities. It sets out how you, as a director, can contribute to the quality of your audit, as well as what you can expect from the FMA and your auditor.

4. 12 November 2020

   Audit Quality Director's Guide 2020

   The Audit Quality Directors Guide 2020 handbook is aimed at directors of FMC reporting entities. It sets out how you, as a director, can contribute to the quality of your audit, as well as what you can expect from the FMA and your auditor.

5. 1 June 2016

   Factors influencing insurance policy survival

   In our study of what factors influence policy survival, we used the Cox proportional hazard model to identify key factors. We found that commission structure was consistently the most significant factor influencing policy survival rates and, within the commission structure, clawback was a major factor.

6. 11 June 2018

   Publishing default information for peer to peer lending services 2018

   This guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information. It sets out what ‘default’ means, when licensees must comply with the standard and guidelines on how to publish fair, clear and transparent information.

7. 18 December 2019

   Conduct and Culture implementation and planning from banks - OIA request

   OIA response, dated 18 December 2019, discussing bank plans and progress on implementation of the Conduct and Culture report changes and what types of action the FMA will take if it is unsatisfied with the outcome or urgency of the banks’ behaviour in establishing or implementing said plans

8. 1 April 2019

   AML/CFT Annual Monitoring Report 2018

   This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and its supporting regulations.

9. 25 July 2017

   Offering financial products in New Zealand and Australia under mutual recognition (MRSO) regulatory guide

   This is a guide for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries. It explains what issuers have to do under the trans-Tasman mutual recognition scheme for offers of financial products. This is a joint guide published by the Australian Securities and Investments Commission.

10. 1 July 2017

    Offering financial products in New Zealand and Australia under mutual recognition - regulatory guide

    This is a guide for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries. It explains what issuers have to do under the trans-Tasman mutual recognition scheme for offers of financial products. This is a joint guide published by the Australian Securities and Investments Commission (ASIC) and the New Zealand Financial Markets Authority (FMA).

11. 7 July 2023

    Climate related disclosures implementation approach

    The Financial Sector (Climate-related Disclosures and Other Matters) Amendment Bill (CRD Bill) received Royal assent on 27 October 2021. This document briefly explains the Financial Sector (Climate-related Disclosures and Other Matters) Amendment Act 2021 (the CRD legislation) and outlines the Financial Markets Authority’s (FMA) implementation approach for the CRD regime over a period of approximately 4 years, through to 2025/26. It sets out the roles and responsibilities of the various government agencies, to help industry understand ‘who is doing what’ with regard to CRD.