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1. 3 December 2014

   Commerce Commission v ANZ - Settlement Agreement

   Settlement Agreement made with New Zealand Commerce Commission by ANZ Bank New Zealand Limited following an investigation into interest rate swaps transactions with rural customers between 2005 and 2009. 3 December 2014.

2. 1 December 2014

   Consultation Fund update template and guidance for calculating risk indicators

   This paper is for market participants that manage funds and for their supervisors and investors. It explains how we propose to use two of the tools available to the FMA under the Financial Markets Conduct Act 2013 (FMC Act) and the Financial Markets Conduct Regulations 2014 (Regulations) to support the new offers regime for managed funds. We are consulting on a proposed ‘frameworks or methodologies’ (FM) template for fund updates and new guidance for calculating risk indicators.

3. 1 December 2014

   Accredited Body Report Certified Public Accountants Australia 2014

   This report contains the outcome of our assessment of Certified Public Accountants Australia (CPA Australia) for the period 1 July 2013 to 30 June 2014 (the Review Period).

4. 1 December 2014

   Corporate Governance in New Zealand - Principles and Guidelines

   This handbook is intended as a reference for directors, executives and advisers to decide how best to apply the principles to their particular entity.

5. 1 December 2014

   Exemptions under Financial Advisers Act 2008 guidance

   This guidance note explains the our approach to granting exemptions under the Financial Advisers Act 2008. It is intended to provide answers to commonly asked questions in relation to exemptions and to provide information to potential applicants on the process for making an application.

6. 1 December 2014

   Transition to fmc act other types mis information sheet

   Timeline for other types of MIS to transition to the FMC Act. Other types of MIS includes a range of schemes, often tightly focused – eg property and forestry schemes. Note, excludes property and forestry schemes structured as companies (who generallyare classed as equity issuers).

7. 1 December 2014

   Transition to fmc act other types mis information sheet

   Timeline for MIS to transition to the FMC Act.

8. 1 December 2014

   Transition to fmc act superannuation mis information sheet

   Timeline for MIS Superannuation schemes to transition to the FMC Act.

9. 1 December 2014

   Transition to fmc act unit trusts mis information sheet

   Timeline for MIS Unit Trusts to transition to the FMC Act.

10. 1 December 2014

    Transition to FMC Act NBDTs Information Sheet

    Timeline for Non-bank deposit takers to transition to the FMC Act.

11. 1 December 2014

    Transition to FMC Act Corporate debt issuers continuous or open offers Information Sheet.1.1

    Overview of transitional timeline for Corporate debt issuers transitioning to FMC Act.

12. 1 December 2014

    Transition to FMC Act Equity Issuers continuous Information Sheet

    Timeline of transition to the FMC Act by Equity Issuers.

13. 1 December 2014

    Transition to FMC Act Corporate debt issuers Information Sheet

    Overview of transitional timeline for Corporate debt issuers transitioning to FMC Act.

14. 1 December 2014

    Transition to FMC Act KiwiSaver MIS Information Sheet

    Timeline of MIS to transition to FMC Act.

15. 1 December 2014

    FMA's review of market disclosures

    This report was first published by the Financial Markets Authority (FMA) in June 2013 and discusses disclosure obligations under the SMA. These disclosure obligations now fall under the FMC Act and are largely unchanged, therefore the findings and observations contained in this report remain relevant.