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  1. 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).

  3. 5 August 2020

    KiwiSaver Statements Report 2020

    The FMA commissioned Buzz Channel to conduct research among New Zealanders to understand their opinions on their KiwiSaver statements and how they use them.

  6. 15 February 2023

    Validus - Interim Stop Order

    INTERIM STOP ORDER made by the Financial Markets Authority (FMA) pursuant to section 465 of the Financial Markets Conduct Act 2013 (Act), issued to Validus.

  7. 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.

  8. 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.

  10. 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.

  11. 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.

  12. 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. 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.