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1. 4 December 2018

   NZICA accredited body report 2018

   This report contains the outcome of our assessment of NZ Institute of Chartered Accountants (NZICA) for the period 1 July 2017 to 30 June 2018.

2. 2 February 2017

   Submissions Report Conduct Guide consultation

   This is a summary of the submissions received by the FMA in response to the consultation of draft guide to the FMA's view of conduct, 2017.

3. 23 November 2017

   Fullerton Markets Ltd - Warning

   FMA issues formal warning to Fullerton Markets Ltd on 23 Nov 2017 under section 80 of the AML/CFT Act for non-compliance with anti-money laundering laws.

4. 12 November 2020

   Cases Investigated - OIA request

   OIA response, dated 12 November 2020, questions asked around the policies, documents, communications and number of cases / prosecutions the FMA has assessed between 1 July 2017 - 12 November 2020

5. 4 October 2019

   Psychometric testing - OIA request

   OIA response, dated 4 October 2019, which psychometric testing occurred as part of initiatives by the FMA and costs associated during the period 1 July 2017 to 30 June 2019

6. 17 August 2023

   AML/CFT Explanatory Note: Electronic Identity Verification Guideline

   This Explanatory Note: Electronic Identity verification Guideline replaces the previous Explanatory Note that was published by the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Supervisors in December 2017.

7. 10 October 2017

   The Bank Bill Benchmark Rate and closing rates guidance note

   This guidance clarifies the FMA’s expectations about the trading conduct and controls for firms participating in the trading that sets BKBM and closing rates in the New Zealand market. October 2017.

8. 6 December 2021

   AML/CFT Sector Risk Assessment 2021

   Our Sector Risk Assessment (SRA) helps us and the Reporting Entities we supervise understand the risks of money-laundering (ML) and terrorism financing (TF) in each sector. This SRA replaces our SRA published in 2017.

9. 18 January 2021

   Consulation Review of wholesale investor exclusion exemption

   This consultation is for all interested people including wholesale investors, banks, brokers, issuers and legal advisers. It seeks feedback to inform our review of the Financial Markets Conduct (Wholesale Investor Exclusion - $750,000 Minimum Investment) Exemption Notice 2017.

10. 13 February 2018

    Fonterra Shareholders - Approval of Rule Change Notice 2018

    The notice approves changes to the FSM Rules that were provided to the FMA by NZX for approval on 22 Dec 2017. These changes will be incorporated into the FSM Rules at a future date to be determined by the NZX.