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3 April 2019

Exemption Notice - Financial Markets Conduct Harbour Investment Funds

Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019
1 April 2019

AML/CFT Annual Monitoring Report 2018

This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and its supporting regulations.
31 March 2019

31 March 2019 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 March 2019
31 March 2019

31 March 2019 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 31 March 2019
28 March 2019

Richard Owen Dey - Notice of decision NZICA

NZICA decision on Richard Owen Dey outlines 2019 audit ethics breaches, including partner rotation and documentation failures.
28 February 2019

ASX 24 Obligations Review 2018

The FMA is required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations.The ASX 24 Obigations Review 2018 covers the period 1 July 2016 to 30 June 2018.
29 January 2019

Life Insurer Conduct and Culture 2019

Findings from an FMA and RBNZ review of conduct and culture in New Zealand life insurers.
30 December 2018

31 December 2018 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 December 2018
30 December 2018

31 December 2018 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 31 December 2018
21 December 2018

Exemption Notice - Financial Markets Conduct Invion Limited

Financial Markets Conduct (Invion Limited) Exemption Notice 2018
19 December 2018

NZX NZ Market Disciplinary Tribunal Rules Approval of Rule Changes 2018

NZX NZ Market Disciplinary Tribunal Rules Approval of Rule Changes 2018
19 December 2018

NZX Participant Rules - Approval of Changes Notice 2018

FMA approves 2018 NZX Participant Rules changes, effective 1 July 2019 or later as set by NZX under Rule 1.4 of the Participant Rules.
19 December 2018

NZX Derivatives Market Rules - Approval of Rule Changes 2018

FMA approves 2018 rule changes to NZX Derivatives Market Rules under the FMC Act, effective 20 Dec 2018, with new listing rules from Jan 2019.
17 December 2018

FMA Board Conflicts Policy

FMA Board Conflicts Policy defines member interest rules, disclosure duties, and procedures to manage conflicts in decision-making.
12 December 2018

Exemption Notice - Todd Family Office Limited Financial Reporting

Financial Markets Conduct Exemption Notice 2018: Todd Family Office Limited Financial Reporting.