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1. 31 March 2022

   31 March 2022 Disclose Register KiwiSaver fund updates

   This document is the Disclose Register for KiwiSaver fund updates for period ending 31 March 2022

2. 31 March 2022

   31 March 2022 Disclose Register MIS fund updates

   Disclose Register MIS fund updates for 31 March 2022

3. 18 March 2022

   Impact of Russia Sanctions on AML/CFT reporting entities

   An update from the three AML/CFT Act supervisors to reporting entities on what is required of them under the Russia Sanctions Act 2022.

4. 15 March 2022

   Exemption Notice - Financial Markets Conduct JP Morgan Chase Bank N.A.

   This notice is the Financial Markets Conduct (JP Morgan Chase Bank N.A.) Exemption Notice 2022.

5. 15 March 2022

   Corporate publications

   The FMA publishes a number of corporate publications that set out our Annual Corporate Plan, Annual Report, Statement of Intent, Statement of Performance Expectations and Strategic Risk Outlook. You can download our corporate publications on this page.

6. 8 March 2022

   Exemption Notice - IG Australia

   The Financial Markets Conduct (IG Australia Pty Limited) Exemption Notice 2022 provides relief to IG Australia Pty Limited (IG Australia) from certain financial reporting and audit obligations in the FMC Act and from certain assurance obligations and register entry requirements in the FMC Regulations.

7. 28 January 2022

   Application Form - Supervisors Licence TRU1.1

   FMA TRU1.1 form for applying or renewing a supervisors licence covering debt securities, registered schemes, or retirement villages.

8. 19 January 2022

   KiwiSaver Switching Behaviour KiwiSaver Member Stories

   The FMA commissioned PwC’s behavioural science team to examine KiwiSaver switching behaviour during the height of COVID-19 market volatility, with data provided by 11 KiwiSaver providers.

9. 1 January 2022

   NZX Participant Rules 2017

   FMA notice approving NZX Participant Rules 2017 under the FMC Act, effective from 25 August 2017, covering NZX and derivatives markets.

10. 26 December 2021

    31 December 2021 Disclose Register MIS fund updates

    Disclose MIS Manager fund updates for 31 December 2021

11. 24 December 2021

    31 December 2021 Disclose Register KiwiSaver fund update

12. 16 December 2021

    Customer care managing conflicts of interest self assessment tool

13. 15 December 2021

    Fonterra Shareholders' Market Listing Rules - Approval of Change Notice 2021

    The amendments to the FSM Listing Rules are generally consequential on external factors relating to Fonterra, and include the following: FSM Listing Rule 1.8.2, Rules 1.8.2(c), 1.8.4(a) and 6.1.2(a)(ix) and (x) and the Glossary, and, FSM Listing Rule 6.1.2 are amended

14. 10 December 2021

    Outsourcing CDD to a third party provider Reminder to FMA and DIA reporting entities

    While third-party providers can provide a useful service, both the DIA and FMA are aware of an increasing number of reporting entities taking a view that the third-party provider “just takes care of it all” and that all CDD requirements are then met. This is not the case. Read more about outsourcing your CDD requirments.

15. 6 December 2021

    AML/CFT Sector Risk Assessment 2021

    Our Sector Risk Assessment (SRA) helps us and the Reporting Entities we supervise understand the risks of money-laundering (ML) and terrorism financing (TF) in each sector. This SRA replaces our SRA published in 2017.