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1. 3 October 2023

   Compliance approach

   FMA takes a risk-based approach to our monitoring and surveillance activities, meaning we prioritise resources to those participants or practices that present the greatest risk to fair, efficient and transparent financial markets.

2. 30 September 2023

   Consultation paper proposed guidance on scheme wind ups

   FMA is considering guidance for Supervisors and (where there is no Supervisor) Managers of registered schemes on the requirements in section 212 (Initial steps in winding up of registered scheme) and section 213 (Winding-up report) of the Financial Markets Conduct Act 2013 (FMC Act).

3. 30 September 2023

   Feedback form FMA scheme winding up guidance

   Consultation feedback form: FMA scheme winding up guidance.

4. 29 September 2023

   Consultation paper Proposed liquidity risk management guidance

   Consultation: Proposed liquidity risk management guidance.

5. 29 September 2023

   Feedback form Liquidity risk management

   Feedback form of Liquidity risk management draft guidance.

6. 28 September 2023

   Catalist market operator obligations review 2023

   Findings from the FMA’s review of how well Catalist is meeting its licensed market operator obligations, for the period 1 April 2022 to 31 March 2023.

7. 26 September 2023

   NZX Listing Rules Amendment Notice NZX Capital Raising settings amendments

   NZX Listing Rules Amendment Notice NZX Capital Raising settings amendments

8. 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.

9. 19 September 2023

   Craigs Investment Partners Self Select Schemes levy waiver notification 2023

   Craig's Investment Partners Self Select Schemes levy waiver issued by the FMA.

10. 5 September 2023

    Governance Thematic Review FMA and RBNZ

    This publication reports on the findings from a joint review of 29 entities across the banking, insurance, non-bank deposit taking and investment management sectors to assist boards to meet their obligations and help drive good governance outcomes.

11. 24 August 2023

    Exemption Notice- Financial Markets Conduct Times-7 Group

    The Financial Markets Conduct (Times-7 Group) Exemption Notice 2023 exempts Times-7 Holdings Limited and Times-7 Research Limited (together, the issuers) from compliance with the disclosure requirements of Part 3 of the Financial Markets Conduct Act 2013 (Act).

12. 23 August 2023

    Regulatory returns questions for licensed MIS

    Annual regulatory return information to be provided by licensed MIS providers to the FMA.

13. 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.

14. 11 August 2023

    Waivers

    Explore a comprehensive list of the FMC Act waivers offering by FMA. Get insights on financial markets authority and FMC waivers.

15. 3 August 2023

    Enforcement Policy

    Our enforcement policy is intended to guide and inform financial market participants. It is also intended to be a living policy and we may revise it from time to time according to what our objectives and priorities are. It is not exhaustive and is not binding.