Document Library

Found 1643 results. Displaying page 17 of 110

1. 15 November 2023

   Draft Fair outcomes for consumers and markets

   Consultation Draft Fair outcomes for consumers and markets: A guide to outcomes-focused regulation.

2. 15 November 2023

   Fair outcomes consultation feedback form

   Feedback form for Consultation: Fair Outcomes for Consumers and Markets. Submissions close on 1 March 2024

3. 13 November 2023

   Financial Market Infrastructures Act Designation Notice NZ Clear 2023

   This notice is issued under Clause 4 of Schedule 1 of the Financial Markets Infrastructures Act 2021 by the Reserve Bank of New Zealand and the Financial Markets Authority.

4. 9 November 2023

   Interim Stop Order David McEwen and Associates 202311

   FMA makes interim stop order against David McEwen and entities associated with him

5. 31 October 2023

   Climate Related Disclosure Scenario analysis information sheet

   This information sheet details compliance expectations of the FMA for scenario analysis disclosures made under the climate-related disclosures (CRD) regime.

6. 30 October 2023

   Key findings from 2022 Supervisor relicensing

   Report on findings and areas for improvement identified by the FMA’s 2022 relicensing of Supervisors.

7. 26 October 2023

   Licence Standard conditions for overseas auditors

   Standard conditions attaching to licences for overseas auditors.

8. 18 October 2023

   Exemption Notice - Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2023

   The Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2023 provides an exemption for issuers of financial products who wish to provide their PDS in both te reo Māori and English, providing relief from the requirements in the FMC Regulations relating to the prescribed length limits and, if necessary, some prescribed statements and formatting.

9. 14 October 2023

   Exemption Notice 2023 Financial Markets Conduct Craigs Investment Partners Self Select Schemes

   Financial Markets Conduct (Craigs Investment Partners Self-Select Schemes) Exemption Notice 2023

10. 5 October 2023

    Lessons learned from the Barry Kloogh Ponzi scheme

    This report covers the FMA's enquiries into the regulator settings and practices of financial services used by Barry Kloogh to commit fraud.

11. 4 October 2023

    Consultation on green bonds and other responsible investment products

    This consultation seeks issuer and investor input on green bonds and other responsible investment products that expressly take into account environmental, social, and/or governance considerations.

12. 4 October 2023

    CRD record keeping summary of key themes

    Climate related disclosure record keeping summary of key themes.

13. 4 October 2023

    Guidance for keeping proper climate related disclosure records

    This guidance note is for entities that have climate-related disclosure obligations under Part 7A of the Financial Markets Conduct Act 2013. It is intended to help climate reporting entities (CREs) meet their statutory requirement to keep proper climate-related disclosure records at all times.

14. 30 September 2023

    Consultation paper proposed guidance on scheme wind ups

    FMA is considering guidance for Supervisors and (where there is no Supervisor) Managers of registered schemes on the requirements in section 212 (Initial steps in winding up of registered scheme) and section 213 (Winding-up report) of the Financial Markets Conduct Act 2013 (FMC Act).

15. 30 September 2023

    Feedback form FMA scheme winding up guidance

    Consultation feedback form: FMA scheme winding up guidance.