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Document Library

A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1686 results. Displaying page 95 of 113

  1. 1 December 2014

    Review of market disclosures

    These disclosure obligations now fall under the FMC Act and are largely unchanged, therefore the findings and observations contained in this report remain relevant.

  4. 1 December 2014

    Exemptions: Financial Advisers Act 2008 guidance note

    This guidance note explains the approach of the Financial Markets Authority (the FMA) 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.

  11. 30 November 2014

    Audit Quality Monitoring report 2014

    The Audit Quality Review Report 1 July 2013-30 June 2014 provides an overview of the outcomes of the audit quality review activities of the Financial Markets Authority (FMA)