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1. 10 February 2025

   FAQs

   This page frequently asked questions about Offers of financial products including: due diligence; kinds of financial offers; Product Disclosure statements (PDS); dual language PDS exemptions; equity offer financial information; debt offers financial information; schedule 1 offers; offers under employee share purchase schemes; small offers and offers of financial products of same class as quoted financial products.

2. 31 July 2023

   Standards for designated Financial Market Infrastructures

   The standards for designated FMIs were issued on 27 July 2023 under sections 31 and 34 of the Financial Market Infrastructures Act 2021 (the FMI Act) by the Reserve Bank of New Zealand and the Financial Markets Authority acting jointly as the regulator under section 9 of the FMI Act. The standards come into effect starting from 1 March 2024.

3. 31 July 2023

   Standard 1 Legal Basis

   Standard 1 Legal basis for designated Financial Market Infrastructures (FMIs).

4. 24 April 2020

   COVID19 CEO Conduct Letter 1

   A letter to CEOs explaining regulatory relief available during COVID-19 and expectations of the FMA during the period

5. 10 April 2025

   Submissions on Outcomes Focused consultation 1

   Please note the attachments are very large so we can provide separately on request

6. 13 December 2024

   Submissions report outcomes focussed regulation 1

   Submissions report following Consultation on outcomes focussed regulation - document 1

7. 23 August 2024

   Matthew Hill Settlement agreement PART 1

   Matthew Hill Settlement Agreement Part 1

8. 7 March 2023

   FAP regulatory returns questions Class 1

   Final question set for Class 1 FAPs detailing regulatory return requirements across advice services, complaints, outsourcing, and continuity.

9. 10 October 2022

   Consultation FAP Regulatory Returns Class 1

   This consultation document is intended for Class 1 licensed financial advice providers (FAPs).

10. 1 July 2021

    FAP Licensing Application Guide Class 1 questions

    This document contains the questions you will be asked when applying for a Class 1 Financial Advice Provider full licence.

11. 10 October 2022

    Feedback form FAP Regulatory Returns Class 1 Consultation

    Feedback form for proposed regulatory returns for licensed Class 1 financial advice providers (FAPs)

12. 1 July 2021

    Administrators of financial benchmarks BMA.1 Application form

    Administrators of financial benchmarks BMA.1 Application form

13. 19 December 2014

    Response to submissions Consultation paper Personalised DIMS.1

    Summarises FMA responses to industry feedback on proposed Personalised DIMS standards for AFAs under the Financial Advisers Act 2008.

14. 31 January 2025

    Financial Markets Conduct Catalist Public Market Issuer Rules 1/2025

    Financial Markets Conduct (Catalist Public Market Issuer Rules) Approval of Rule Change Notice 1/2025

15. 1 March 2016

    Consultation paper Exemptions impacting overseas businesses and restricted schemes 1

    This consultation is for: FMC reporting entities, licensed managers and scheme auditors, overseas banks, licensed independent trustees, restricted scheme managers, advisers and interested parties. It aims to seek feedback on the exemption proposals explained.