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4 May 2017

Consultation proposed guidance Substantial product holder disclosures

FMA consults on SPH disclosure guidance, focusing on whether individual fund managers must disclose relevant interests under the FMC Act.
28 April 2017

Exemption Notice - Plus500 AU Pty Ltd 2017

Financial Markets Conduct Exemption Notice 2017: Plus500AU Pty Ltd.
28 April 2017

Exemption notice - Berkshire Hathaway Specialty Insurance Company

FMA exemption notice for BHSI from certain FMC Act reporting duties, allowing US GAAP reporting for overseas insurer under specific conditions.
14 April 2017

Exemption Notice - Gordian RunOff Limited

Financial Markets Conduct Exemption Notice 2017: Gordian RunOff Limited.
11 April 2017

Consultation paper Improving financial information in an equity PDS

This consultation is for issuers, their advisors, investors and other interested parties. It aims to seek feedback on our proposed guidance and interpretations of the regulations.
7 April 2017

Exemption Notice - The City of London Investment Trust plc

Financial Markets Conduct Exemption Notice 2017 - The City of London Investment Trust plc.
7 April 2017

Exemption Notice - Stride Property Group

Financial Markets Conduct (Stride Property Group) Exemption Notice 2017
3 April 2017

Consultation paper Short duration derivatives

FMA consults on licensing for short duration derivatives and proposes excluding deliverable spot FX contracts from the FMC Act’s derivative scope.
31 March 2017

31 March 2017 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 March 2017
16 March 2017

Exemption notice - Financial Markets Conduct Deutsche Bank AG

Financial Markets Conduct (Deutsche Bank AG) Exemption Notice 2017
10 March 2017

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

Financial Markets Conduct (JP Morgan Chase Bank N.A.) Exemption Notice 2017
9 March 2017

Submissions Report KiwiSaver guidance note

This submissions report is in response to submissions on the draft KiwiSaver advice guidance note consultation, 2017.
6 March 2017

Consultation paper Disclosing non GAAP financial information

This guidance note is primarily for FMC reporting entities and their directors. It aims to outline the FMA's expectations on the use of non-GAAP financial information.
20 February 2017

Conduct Outcomes Report 2016

This report highlights the key issues and actions from our enforcement, supervision and preventative activities in the period 1 July 2015 to 30 June 2016.
2 February 2017

Submissions Report Conduct Guide consultation

This is a summary of the submissions received by the FMA in response to the consultation of draft guide to the FMA's view of conduct, 2017.