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1. 8 May 2019

   KiwiSaver

   Anyone offering a KiwiSaver scheme must comply with their obligations under the KiwiSaver Act 2006 (the Act) and the Financial Markets Conduct Act 2013 (FMC Act). Find more info here.

   https://fma.cwp.govt.nz/compliance/kiwisaver/

2. 8 May 2019

   Offer information

   Clear, concise and effective offer information helps investors make more informed investment decisions. Learn more about offers under the FMC Act, exemptions for Crowdfunding issuers and Peer-to-peer lending borrowers.

   https://fma.cwp.govt.nz/compliance/offer-information/

3. 1 May 2014

   Presentation by Rob Everett to the Australian and New Zealand Ombudsman Conference 2014

   Presentation by Rob Everett to the Australian and New Zealand Ombudsman Conference 2014

   https://fma.cwp.govt.nz/news-and-resources/speeches-and-presentations/presentation-by-rob-everett-to-the-australian-and-new-zealand-ombudsman-conference-2014/

4. • Closed - with decision

   22 December 2014

   Consultation Paper: Update of Guidance Note: Effective Disclosure

   Eight submissions were received and amendments were incorporated into the final version of the updated guidance note.

   https://fma.cwp.govt.nz/compliance/consultation/consultation-paper-update-of-guidance-note-effective-disclosure/

5. • Closed - with decision

   15 October 2012

   Response to submissions: Draft Guidance Note: Sale and Distribution of KiwiSaver

   Response to submissions: Draft Guidance Note: Sale and Distribution of KiwiSaver. Read more here.

   https://fma.cwp.govt.nz/compliance/consultation/response-to-submissions-draft-guidance-note-sale-and-distribution-of-kiwisaver/

6. • Closed - with decision

   15 February 2012

   Second consultation: Licensing of auditors and registration of audit firms

   This consultation paper represents the second, and final, round of consultation on proposed minimum standards and conditions for licensed auditors and registered audit firms.

   https://fma.cwp.govt.nz/compliance/consultation/second-consultation-licensing-of-auditors-and-registration-of-audit-firms/

7. 4 July 2019

   Your on-going obligations

   If you are an Authorised Financial Adviser (AFA), you must comply with a certain code of conduct when providing financial adviser services. Read your obligations here.

   https://fma.cwp.govt.nz/compliance/role/authorised-financial-advisers/your-on-going-obligations/

8. • Research papers
   • Surveys

   12 November 2012

   2012 Stakeholder Survey

   View the Executive Summary of the stakeholder survey conducted by Colmar Brunton on behalf of FMA.

   https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/2012-stakeholder-survey/

9. • Research papers
   • Surveys

   17 November 2011

   Roadmap for markets regulation: Oliver Wyman stakeholder report

   This report details the results of stakeholder research conducted around the time of FMA's establishment in 2011.

   https://fma.cwp.govt.nz/news-and-resources/reports-and-papers/roadmap-for-markets-regulation-oliver-wyman-stakeholder-report/

10. • Closed cases
    • Disclosure
    • Enforceable action

    21 December 2011

    VonWin Capital Management, L.P. - Enforceable undertaking

    FMA asked VonWin for an enforceable undertaking and to include a statement provided by FMA at the beginning of any offer they send to Irongate bondholders to ensure they make an informed decision. Read more.

    https://fma.cwp.govt.nz/news-and-resources/cases/vonwin/

11. • Investigations
    • Disclosure
    • Enforceable action

    18 December 2012

    Credit SaILS investigation

    FMA and the Commerce Commission have inquired into alleged contraventions of New Zealand law by some of the Companies in relation to the marketing, promotion and sale of an investment product called Credit Saleable Index Linked Securities (Credit SalLS). Read more.

    https://fma.cwp.govt.nz/news-and-resources/cases/fma-welcomes-commerce-commission-settlement-in-credit-sails-investigation/

12. • AML/CFT

    1 August 2013

    AML/CFT acting on behalf of a customer fact sheet

    AML/CFT acting on behalf of a customer fact sheet. A person acting on behalf of a customer is subject to the same identification requirements as the customer. The fact sheet should be read in conjunction with the beneficial ownership guideline.

    https://fma.cwp.govt.nz/compliance/guidance-library/amlcft-acting-on-behalf-of-a-customer-fact-sheet/

13. 5 March 2015

    Presentation by Elaine Campbell to Duncan Cotterill Law

    Presentation by Elaine Campbell to Duncan Cotterill Law. Read more here.

    https://fma.cwp.govt.nz/news-and-resources/speeches-and-presentations/presentation-by-elaine-campbell-to-duncan-cotterill-law/

14. 1 December 2013

    Securities Act (Charity Debt Securities)

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/expired-exemptions/securities-act-charity-debt-securities/

15. 24 May 2013

    Securities Act (Property For Industry Limited)

    Securities Act (Property For Industry Limited) Exemption Notice 2013

    https://fma.cwp.govt.nz/compliance/exemptions/current-exemption-notices/expired-exemptions/securities-act-property-for-industry-limited/

16. 24 September 2019

    How we monitor financial advice

    We monitor financial advisers are complying with their obligations. We also monitor the activities of providers on the financial services 'perimeter' to ensure they are not providing services that should only be provided by financial advisers.

    https://fma.cwp.govt.nz/compliance/financial-advice/how-we-monitor-financial-advice/

17. 23 October 2020

    Shares

    When you buy shares, you're buying a small part of a company. You can buy shares directly or own them through a managed fund which pools many investors’ money. Shares are riskier than other types of investments such as bonds and cash investments. Before diving into the share market, learn more about the ins and outs of trading and stock investment.

    https://fma.cwp.govt.nz/investors/ways-to-invest/shares/

18. 2 July 2019

    Derivatives issuers

    Under the FMC Act you must be licensed to make a regulated offer of derivatives. Find out who a derivatives issuer is and read more about licensing, obligations and other information.

    https://fma.cwp.govt.nz/compliance/role/derivatives-issuers/

19. 15 August 2013

    Presentation by Sean Hughes to the Workplace Savings Conference 2013

    Presentation by Sean Hughes to the Workplace Savings Conference 2013

    https://fma.cwp.govt.nz/news-and-resources/speeches-and-presentations/presentation-by-sean-hughes-to-the-workplace-savings-conference-2013/

20. • Closed - with decision

    14 April 2015

    Consultation Paper: Derivatives Issuer Standard Condition on Suitability

    We have reviewed the feedback and updated the standard conditions. The new standard condition (no.12) comes into effect on 1 December 2015.

    https://fma.cwp.govt.nz/compliance/consultation/consultation-paper-derivatives-issuer-standard-condition-on-suitability/