Search results

Keywords

Date Published

Sort by:

Found 408 results. Displaying page 23 of 28

29 May 2017

Investor Confidence Survey 2017

The FMA carried out investor research measuring attitudes towards, and investment in New Zealand’s financial markets. The survey was conducted by Colmar Brunton in 2017.
29 April 2024

AML/CFT Customer Due Diligence – Companies

This guidance assists reporting entities to conduct customer due diligence (CDD) under the AML/CFT Act 2009 on their customers who are companies. Published Oct 2022.
13 March 2018

Self select retirement schemes information for scheme managers

This information sheet explains how these schemes are regulated under the Financial Markets Conduct Act 2013 (FMC Act) and what exemptions and waivers may be available.
27 June 2017

ICE Futures Europe review 2017

2017 FMA review of ICE Futures Europe assessing compliance with New Zealand licensing obligations for derivatives markets, based on oversight by the UK Financial Conduct Authority.
12 December 2017

Class legislative notice summary 2017

This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted in effect as at 1 December 2017.
29 August 2022

Kalkine New Zealand Limited - Direction Order

FMA directs Kalkine New Zealand Limited to stop making outgoing sales calls to people in New Zealand following concerns about the entity’s misleading marketing conduct. 10 August 2022.
13 November 2019

Ease of doing business survey report 2019

The FMA commissioned Buzz Channel to conduct research among key stakeholders to understand the effectiveness of interactions FMA has with stakeholders and satisfaction with the service it provides.
1 May 2014

Governance and accountability framework for restricted schemes and their trustees information sheet

The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for restricted schemes and their trustees.
1 May 2014

Governance and accountability framework for debt issuers and their licensed supervisors

The Financial Markets Conduct Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors.
25 July 2024

Guide for providers of client money or property services

This document is for providers of client money or property services and custodians. It gives guidance on how they can meet their obligations under the Financial Markets Conduct Act 2013.
21 May 2025

FMC (Helios Energy) Exemption Notice 2025

The Financial Markets Conduct (Helios Energy) Exemption Notice 2025 (the Notice) exempts Helios Energy Hold LP (Helios) from compliance with the disclosure and governance requirements of Parts 3 and 4 of the Financial Markets Conduct Act 2013 (Act), in respect of offers of limited partnership interests in Helios (including options to acquire those partnership interests) (interests), made under Helios’ staff incentive scheme (scheme) to certain employees, contractors and other eligible persons.
29 April 2024

AML/CFT Customer Due Diligence – Sole traders and partnerships

This guidance assists reporting entities to conduct customer due diligence (CDD) under the AML/CFT Act 2009 on their customers who are sole traders, partnerships, or limited partnerships. Published April 2024.
30 January 2024

Exemption Notice BGC revocation notice

This notice, which comes into force on the day after the date of its notification in the Gazette, revokes the Financial Markets Conduct (BGC Partners (Australia) Pty Limited) Exemption Notice 2022.
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.
11 July 2022

Class legislative notice summary 2022

This is a summary of the Financial Markets Conduct Act class legislative notices we have granted as at 1 June 2022. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.