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13 September 2018

The essentials of being a director

This guide is intended to provide company directors and prospective directors with a quick reference and overview of some of the key things they should think about. It outlines some of the legal requirements, ethical considerations and best practice areas for directors to consider, to be effective in their role. It is not intended to be comprehensive and includes links to more detailed resources.
11 September 2018

Director Essentials - IoD

FMA & IoD 2024 guide offers key legal, ethical & best practice tips for NZ directors to be effective in governance roles.
1 September 2018

Consumer Views of Financial Providers’ Conduct

The FMA commissioned Buzz Channel to conduct research among New Zealanders to understand their experience with financial services providers.
19 July 2018

Consultation paper Determining whether you are acquiring a business or assets

This consultation is for issuers, their advisers, investors and other interested parties. We are seeking feedback on our proposed guidance and interpretation of the Regulations.
16 July 2018

Exemption from the market index requirement guidance

This guidance note aims to clarify what we expect of MIS managers in relation to the market index requirement for quarterly fund updates.
28 June 2018

NZX Obligations Review 2018

Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2018.
25 June 2018

Consultation paper Proposed exemption from requirement to name assets

This consultation is for MIS managers, advisers, supervisors, investors and seeks feedback on a proposed exemption from the requirement to name assets.
11 June 2018

Publishing default information for peer to peer lending services 2018

This guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information. It sets out what ‘default’ means, when licensees must comply with the standard and guidelines on how to publish fair, clear and transparent information.
23 May 2018

Consultation Same Class Offers ASX NZX Exemption Notice 2018

This consultation paper is for those who issue and offer listed financial products, investors, legal advisers, and other interested parties. It seeks feedback on a proposed exemption for same class offers of ASX/NZX-quoted financial products.
16 May 2018

Conflicted remuneration (soft commissions) in the life and health insurance industry

This review examines the soft commission structures in place for life and health insurance products and how advisers respond to these incentives. This work forms part of a range of regulatory activities examining conflicted conduct in the insurance sector.
15 May 2018

Consultation Improving financial information in an equity PDS response to submissions

This document summarises the key matters and changes we’ve made to our Guidance Note: Improving financial information in an equity PDS following consultation.
15 May 2018

Improving financial information in an Equity PDS - guidance

This guidance is to assist issuers and their professional advisers in understanding the FMA’s expectations on certain aspects of the financial information section.
1 May 2018

AML/CFT Risk Assessment Guideline

This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).
1 May 2018

AML/CFT Risk Assessment Guideline

This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).
17 April 2018

Consultation paper Proposed exemption to enable dual language PDS

This consultation paper is for issuers of financial products and seeks feedback on the exemption proposal to enable issuers to provide dual-language PDSs.