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1 June 2015

Investor Confidence Research 2015

The Investor confidence Research report 2015 measures attitudes towards and investment in New Zealand’s financial markets. The research was carried out online using Colmar Brunton’s omnibus.
30 May 2015

CMB Information Sheet for May 2015

Offers of contributory mortgages made by contributory mortgage brokers who are not lawyers are regulated under the Securities Act (Contributory Mortgage) Regulations 1988 (Regulations). The Regulations exempt brokers from certain disclosure and governance requirements, under the Securities Act 1978.
30 May 2015

New requirements for lawyers offering contributory mortgages

From 1 December 2016 all new offers of contributory mortgages must be made under the FMC Act.
24 May 2015

FMA certification process for the registration of new KiwiSaver superannuation and workplace savings schemes information sheet

This information sheet outlines the process for getting a certificate from the FMA to apply for registration of a new KiwiSaver, superannuation or workplace savings scheme.
2 May 2015

Consultation: Investor acknowledgement and warning for the $750,000 minimum investment wholesale investor exclusion

FMA consultation on potential exemptions to investor warnings and acknowledgements under the $750K wholesale investor exclusion in NZ markets.
13 April 2015

Response to Submissions Derivatives Issuer Standard Condition: Suitability of Products for Clients

FMA responses to feedback on a proposed suitability condition for derivatives issuers, addressing investor understanding, compliance scope, and clarity.
16 March 2015

Exemption Notice - Financial Markets Conduct South32 Limited

Financial Markets Conduct (South32 Limited) Exemption Notice 2015
16 March 2015

Proposed financial reporting exemptions for small and medium sized DIMS providers consultation paper

FMA consults on tiered exemptions from financial reporting for small and medium DIMS providers to reduce costs while maintaining oversight.
13 March 2015

Financial Markets Conduct Act exemptions consultation paper

FMA consultation on proposed exemptions under the FMC Act 2013, covering foreign offers, charities, co-operatives, DIMS, and pre-payment schemes.
1 March 2015

RBNZ designation and oversight of designated settlement system

This document explains Part 5C of the Reserve Bank of New Zealand Act 1989 and the roles and policies of the Reserve Bank and the Financial Markets Authority in relation to the designation and oversight of designated settlement systems.
27 February 2015

Issuers registers of regulated products and the FMAs discretion under section 224

This information sheet outlines the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act). It also sets out how the FMA will exercise its discretion to authorise an issuer to decline a request for a copy of a register under section 224 of the FMC Act.
24 February 2015

Information sheet Related party transactions under the Financial Markets Conduct Act 2013.1.1

This information sheet outlines the rules on related-party transactions that apply to managed investment schemes under the Financial Markets Conduct Act 2013 (FMC Act).
24 February 2015

Certification process - new KiwiSaver, superannuation and workplace savings schemes

The FMA certification process for the registration of new KiwiSaver, superannuation and workplace savings schemes
24 February 2015

Custodians of managed investment schemes information sheet

This information sheet outlines the duties and responsibilities under the Financial Markets Conduct Act 2013 (FMC Act) for custodians of registered managed investment schemes.
24 February 2015

Reporting SIPO limit breaks Information sheet

This information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).