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1. 7 May 2015

   Exemption Notice 2015 - Financial Markets Conduct (The Warehouse Group Limited)

   Financial Markets Conduct (The Warehouse Group Limited) Exemption Notice 2015

2. 2 May 2015

   Consultation: Investor acknowledgement and warning for the $750,000 minimum investment wholesale investor exclusion

   FMA consultation on potential exemptions to investor warnings and acknowledgements under the $750K wholesale investor exclusion in NZ markets.

3. 1 May 2015

   Exemption Notice 2015 - Securities Act (NZX Limited)

   Securities Act (NZX Limited) Exemption Notice 2015

4. 28 April 2015

   Hanover - Settlement Agreement

   Settlement Agreement with the Directors' of Hanover Finance Ltd (HFL), United Finance Ltd (UFL) and Hanover Capital Limited (HCL), 28 April 2015.

5. 13 April 2015

   Response to Submissions Derivatives Issuer Standard Condition: Suitability of Products for Clients

   FMA responses to feedback on a proposed suitability condition for derivatives issuers, addressing investor understanding, compliance scope, and clarity.

6. 1 April 2015

   Exemption Notice 2015 - Financial Reporting Act (Deutsche Bank Aktiengesellschaft)

   Financial Reporting Act (Deutsche Bank Aktiengesellschaft) Exemption Notice 2015

7. 16 March 2015

   Exemption Notice - Financial Markets Conduct South32 Limited

   Financial Markets Conduct (South32 Limited) Exemption Notice 2015

8. 16 March 2015

   Contingency DIMS seminar presentation

   Contingency DIMS seminar presentation

9. 16 March 2015

   Proposed financial reporting exemptions for small and medium sized DIMS providers consultation paper

   FMA consults on tiered exemptions from financial reporting for small and medium DIMS providers to reduce costs while maintaining oversight.

10. 13 March 2015

    Financial Markets Conduct Act exemptions consultation paper

    FMA consultation on proposed exemptions under the FMC Act 2013, covering foreign offers, charities, co-operatives, DIMS, and pre-payment schemes.

11. 6 March 2015

    Exemption Notice 2015 - Securities Act (Arbor Management Limited)

    Securities Act (Arbor Management Limited) Exemption Notice 2015

12. 1 March 2015

    RBNZ designation and oversight of designated settlement system

    This document explains Part 5C of the Reserve Bank of New Zealand Act 1989 and the roles and policies of the Reserve Bank and the Financial Markets Authority in relation to the designation and oversight of designated settlement systems.

13. 27 February 2015

    Issuers registers of regulated products and the FMAs discretion under section 224

    This information sheet outlines the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act). It also sets out how the FMA will exercise its discretion to authorise an issuer to decline a request for a copy of a register under section 224 of the FMC Act.

14. 24 February 2015

    Information sheet Related party transactions under the Financial Markets Conduct Act 2013.1.1

    This information sheet outlines the rules on related-party transactions that apply to managed investment schemes under the Financial Markets Conduct Act 2013 (FMC Act).

15. 24 February 2015

    Certification process - new KiwiSaver, superannuation and workplace savings schemes

    The FMA certification process for the registration of new KiwiSaver, superannuation and workplace savings schemes