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Page last updated: 27 Feb 2019
We oversee a range of financial markets legislation.
Auditor Regulation Act 2011
(and
Auditor Regulations 2012
)
Financial Advisers Act 2008
Financial Advisers (Fees) Regulations 2010
Financial Advisers (Custodians of FMCA Financial Products) Regulations 2014
Financial Advisers (Disclosure) Regulations 2010
Financial Advisers (Definitions, Voluntary Authorisation, Prescribed Entities, and Exemptions) Regulations 2011
Financial Advisers (Personalised DIMS) Regulations 2014
Financial Markets Conduct Act 2013
Financial Markets Conduct Regulations 2014
Financial Markets Conduct (Fees) Regulations 2014
Financial Markets Conduct (NZX–NXT Market) Regulations 2014
Financial Markets Conduct (Unlisted Market) Regulations 2015
Financial Markets (Repeals and Amendments) Act 2013
Financial Markets Authority Act 2011
Financial Markets Authority (Levies) Regulations 2012
Financial Markets Authority (Fees) Regulations 2011
Financial Markets Supervisors Act 2011
Financial Markets Supervisors Regulations 2014
KiwiSaver Act 2006 (Part 4 and Schedule 1)
KiwiSaver Regulations 2006
Public Finance Act 1989 (
Sections 45U
and
45V
)
Secret Commissions Act 1910
Trustee Companies Management Act 1975
We also have certain powers, monitor compliance, investigate and enforce conduct that may constitute a contravention of other legislation, where it applies to financial market firms and individuals. This includes:
Anti-Money Laundering and Countering Financing of Terrorism Act 2009
Anti-Money Laundering and Countering Financing of Terrorism Regulations
Building Societies Act 1965
Companies Act 1993
Co-operative Companies Act 1996
Corporations (Investigation and Management) Act 1989
Crimes Act (Sections 220, 228, 229, 240, 242, and 256 to 260)
Financial Reporting Act 2013
Financial Service Providers (Registration and Dispute Resolution) Act 2008
Friendly Societies and Credit Unions Act 1982
Industrial and Provident Societies Act 1908
Limited Partnerships Act 2008
Reserve Bank of New Zealand Act 1989 (Part 5C)
Trustee Companies Act 1967
Latest
6 November 2019
Class legislative notices summary
16 August 2017
Regulation Update: August 2017
12 December 2016
FMA legislative notices supporting the FMC Act regime up to...
3 October 2016
FMA legislative notices supporting the FMC Act regime up to ...
15 August 2016
FMA legislative notices supporting the FMC Act regime - Augu...
See more