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  1. 18 January 2021

    Consulation Review of wholesale investor exclusion exemption

    This consultation is for all interested people including wholesale investors, banks, brokers, issuers and legal advisers. It seeks feedback to inform our review of the Financial Markets Conduct (Wholesale Investor Exclusion - $750,000 Minimum Investment) Exemption Notice 2017.

  2. 18 December 2020

    NZICA accredited body report 2020

    This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2019 to 30 June 2020.

  10. 9 December 2020

    Overseas research reports 2020

    Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 from 15 March 2021.

  11. 4 December 2020

    Auditor Regulation Act Notice 2020

    This notice is the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.

  13. 18 November 2020

    Consultation guidance on advertising offers

    This consultation is for those involved in advertising and promoting offers of financial products, investor groups and consumer advocates. We are seeking feedback about the scope and content of the proposed guidance.

  14. 12 November 2020

    Audit Quality Director's Guide 2020

    The Audit Quality Directors Guide 2020 handbook is aimed at directors of FMC reporting entities. It sets out how you, as a director, can contribute to the quality of your audit, as well as what you can expect from the FMA and your auditor.