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3 September 2015

Consultation paper auditor regulation act amendmment

FMA consultation on updates to auditor licensing and firm registration standards, reflecting changes to the Auditor Regulation Act and related terminology.
25 August 2015

Consultation paper scrip offers in takeovers

FMA consultation on whether to grant a class exemption for scrip offers in takeovers under the FMC Act, focusing on disclosure and market impact.
13 August 2015

Guide to market misconduct risks for MIS managers

This information sheet is to help Managed Investment Scheme (MIS) managers understand how to manage market misconduct risks in trading activity.
12 August 2015

Expectations for and experiences of retirement - research report

This survey looks at older New Zealanders’ expectations for and experiences of retirement. Research was conducted among those aged 50 years and over, and includes the views of those who are nearing retirement and those who have already retired. The results of the survey were published in 2015.
1 August 2015

Investigations and Enforcement Report 2015

This report highlights the key themes and issues in our investigation and enforcement activity in the year to 30 June 2015. It is intended to provide insight into the work we do, and help businesses and professionals better understand the behaviour we expect.
28 July 2015

Exemption Notice - Financial Markets Conduct Act Todd Family Office Limited Transaction Reporting

Financial Markets Conduct (Todd Family Office Limited Transaction Reporting) Exemption Notice 2015.
28 July 2015

Exemption Notice - Financial Advisers Courtenay Nominees Limited Transaction Reporting

FMA exempts Courtenay Nominees from cash asset reporting under the FMCA, subject to conditions on valuation and disclosure by Todd Family Office.
16 July 2015

Exemption Notice - Financial Markets Conduct Act Takeovers Panel

Financial Markets Conduct Act (Takeovers Panel) Exemption Notice 2015.
10 July 2015

Exemption Notice - Financial Markets Conduct Southern Pastures Management Limited

Financial Markets Conduct (Southern Pastures Management Limited) Exemption Notice 2015
6 July 2015

Risk indicators and descriptions of managed funds draft guidance

In December 2014 we consulted on guidance for calculating risk indicators. After consultations, feedback and subsequent discussions with businesses who have been involved in producing draft product disclosure statements, we believe it would be useful to extend that guidance note to cover additional related matters.
30 June 2015

User Guide: Annual AML/CFT Report

The annual report is required by section 60 of New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘the Act’). The annual report applies to activities that are covered by the Act.
30 June 2015

Southern Cross Benefits Limited Levy Waiver

On 25 May 2015 the FMA granted a waiver of part of the FMA levy to Southern Cross Benefits Limited (SCBL).
29 June 2015

NZX Obligations Review 2015

The Financial Markets Conduct Act 2013 (FMC Act) requires the FMA to carry out a review, at least annually, of how well a licensed market operator is meeting the market operator obligations contained in section 314 of the FMC Act, and to publish a written report. This report was published in 2015.
26 June 2015

DIMS providers Calculation of returns for information sheet

This information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).
12 June 2015

Financial Markets Conduct Act - NZX Rules Approval of Market Rules Notice 2015

This notice come into force on 15 June 2015. The notice allows for NZX to replace sets of market rules with the corresponding rules dated 16 April 2015.