Search results

Found 86 results. Displaying page 6 of 6

1. 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).

2. 30 November 2014

   Financial regulation and registration requirements for marinas information sheet

   The Financial Markets Conduct Act 2013 (FMC Act) changes the way interests in marinas are regulated. Marinas will generally not be regulated under the FMC Act and will no longer need to register on the Financial Service Providers Register. Published November 2014.

3. 1 February 2016

   AML/CFT annual monitoring report 2015

   The aim of this report is to summarise our monitoring to help firms and individuals better understand our expectations, and therefore improve their systems and processes, and ensure compliance with the Act. This report covers the period from 1 July 2014 to 30 June 2015.

4. 6 July 2015

   Risk indicators and descriptions of managed funds draft guidance

   In December 2014 we consulted on guidance for calculating risk indicators. After consultations, feedback and subsequent discussions with businesses who have been involved in producing draft product disclosure statements, we believe it would be useful to extend that guidance note to cover additional related matters.

5. 1 October 2015

   KiwiSaver Report 2015

   We are required to report each year on our main KiwiSaver activities. This year’s report covers the period from 1 July 2014 to 30 June 2015, and contains a summary of the statistical returns required to be lodged by KiwiSaver schemes as at 31 March 2015.

6. 1 November 2014

   Declaration by senior manager of relevant party

   This declaration form should be completed by senior managers of a relevant party when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).

7. 9 December 2015

   CPA Australia accredited body report 2015

   The Auditor Regulation Act 2011 (the Act) requires the FMA to monitor the audit regulatory systems of accredited bodies to ensure that these systems and processes are adequate and effective. This report contains the outcome of our monitoring assessment of CPA Australia for the period 1 July 2014 to 30 June 2015.

8. 1 November 2014

   Declaration by individual relevant party such as owner

   Declaration form to be completed by an individual relevant party such as an owner when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, as defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).

9. 1 November 2014

   Declaration by director of relevant party to license

   Declaration form to be completed by director of a relevant party when the Applicant has applied for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, as defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).

10. 1 November 2014

    Quality Financial Reporting - How To Improve Financial Statements

    In September 2014, the FMA hosted a half-day discussion forum in Auckland titled ‘Beyond International Financial Reporting Standards (IFRS): Quality Financial Reporting’. This forum aimed to facilitate a clearer understanding of disclosure challenges within the New Zealand environment, and identify ways to improve financial statements so they are a clear and effective reporting and communication tool.

11. 3 April 2025

    Financial Markets Conduct (Vision Invest NZ Funds) Exemption Notice 2025

    The Financial Markets Conduct (Vision Invest NZ Funds) Exemption Notice 2025 (Notice) exempts FundRock NZ Limited (FundRock) in respect of the Vision Income Fund (Fund) from certain disclosure provisions of Schedule 4 of the Financial Markets Conduct Regulations 2014 (the Regulations) relating to details being provided on Disclose Register about loans made by FundRock NZ Limited (FundRock) that are assets of the Fund. The exemption is subject to alternative disclosures being provided to investors.