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Found 135 results. Displaying page 4 of 9

1. 1 August 2019

   Interest rate swap investigation - OIA request

   OIA response, dated 1 August 2019, which looked at the investigation by the FMA in 2012-2013 into banks marketing, promoting and selling interest rate swaps between 2005 and 2009. As well as complaints surrounding interest rate swap and the final settlement number with the banks.

2. 20 September 2023

   KiwiSaver Annual Report 2023

   The KiwiSaver Annual Report 2023 summarises our activities as a regulator relating to KiwiSaver during the reporting previous financial year.

3. 17 January 2023

   Supervisor Licence Certificate - Trustees Executors Limited

   Trustees Executors Limited is licensed to act as supervisor for debt securities, registered schemes, and retirement villages in New Zealand.

4. 13 August 2021

   Standard conditions overseas audit firms

   This document serves as a guide to the standard conditions attached to licences of overseas auditors operating in New Zealand.

5. 4 December 2024

   Climate related Disclosures Insights from our reviews

   This report is primarily intended for climate reporting entities, their directors and other interested parties, such as assurance practitioners and advisers.

6. 15 December 2023

   Financial Market Infrastructures Act Designation Notice (ASXCF) 2023

   ASXCF settlement system designated as FMI under the Financial Market Infrastructures Act 2021, effective 1 March 2024 by RBNZ and FMA.

7. 9 May 2023

   Supervisors Licence Covenant Trustee Services Limited

   Covenant Trustee Services Limited is licensed to act as supervisor for debt securities, registered schemes, and retirement villages in New Zealand.

8. 30 November 2022

   Financial Institutions Submissions report standard conditions

   Collation of written feedback received as part of the FMA’s public consultation on the proposed standard conditions for financial institution licences.

9. 1 July 2020

   Derivatives Issuer Sector Risk Assessment

   This sector risk assessment summarises the key risks posed by licensed Derivatives Issuers (DIs) to the FMA’s objective of promoting fair, efficient and transparent financial markets. It is based on a self-assessment completed by DIs, as well as our interactions with DIs and their clients since FMC Act licensing began.

10. 26 June 2023

    CoFI intermediated distribution consultation themes

    Summary of key themes. An overview of feedback received as part of consultation on the proposed CoFI guidance note on intermediated distribution.

11. 1 July 2014

    Financial Dispute Resolution Scheme - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and Fairway Resolution Limited trading as Financial Dispute Resolution Scheme

12. 25 November 2024

    AAI - Settlement agreement FMA and AAI executed

    The FMA has been conducting an investigation into AAI’s discounting practices and no claims bonuses as set out in clause 1.3 (the Investigation).

13. 17 November 2022

    Supervisor licence Anchorage Trustee Services Limited

    Anchorage Trustee Services Limited is licensed to act as a statutory supervisor for retirement villages in NZ under the Financial Markets Supervisors Act.

14. 15 May 2017

    Regulatory Impact Statement: Designation of shares in investment companies 2017

    This document is for investment companies, managers, advisers. It discusses a class designation of certain shares in investment companies as managed investment products.

15. 16 February 2017

    2017 Letter of Expectations

    The letter of expectation 2017 is delivered by the Minister to the FMA to formalise expectation of the FMA as a Crown entity.