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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 96 of 113

  1. 10 November 2014

    Gentrack IPO Report November 2014

    This report published in 2014 describes our conclusions following a review of matters arising out of Gentrack’s initial public offering (IPO) of shares and its disclosure at the time of the IPO. Our review has not covered matters relating to Gentrack’s continuous disclosure obligations under the Securities Markets Act 1988 or the NZX listing rules. These matters have been reviewed by NZX.

  2. 9 November 2014

    Consultation paper personalised DIMS under the FA Act 2008

    Consultation Paper - 19 November 2014 - The Financial Markets (Repeals and Amendments) Act 2013 introduces amendments to the Financial Advisers Act 2008 (the FA Act). This means for a person to be authorised to provide a Personalised DIMS they must meet the prescribed eligibility criteria.

  3. 1 November 2014

    AML/CFT Monitoring Report 2014

    The purpose of this report is to help reporting entities (REs) better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) and its supporting regulations. This is our 2014 report.

  4. 1 November 2014

    Declaration by individual relevant party such as owner

    Declaration form to be completed by an individual relevant party such as an owner when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, as defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).

  5. 1 November 2014

    Declaration by senior manager of relevant party

    This declaration form should be completed by senior managers of a relevant party when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).

  6. 1 November 2014

    FMA consent to governing document amendments under FMC Act Information sheet

    This information sheet enables debt issuers and MIS managers to amend a governing document with FMA consent where those changes are necessary or desirable for ensuring compliance with the FMC Act. It is an alternative way for the issuer/manager to amend governing documents rather than making amendments under the governing document’s own amendment provisions (which may otherwise require investor consent).

  7. 1 November 2014

    Declaration by director of relevant party to license

    Declaration form to be completed by director of a relevant party when the Applicant has applied for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, as defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).

  8. 1 November 2014

    Quality Financial Reporting - How To Improve Financial Statements

    In September 2014, the FMA hosted a half-day discussion forum in Auckland titled ‘Beyond International Financial Reporting Standards (IFRS): Quality Financial Reporting’. This forum aimed to facilitate a clearer understanding of disclosure challenges within the New Zealand environment, and identify ways to improve financial statements so they are a clear and effective reporting and communication tool.

  9. 1 November 2014

    Declaration by senior manager of related body

    This declaration should be completed by the the senior manager of a related body when applying for a market service licence. This is relevant to senior managers of crowd funding services; peer-to-peer; MIS managers; DIMS providers; Derivative issuers and independent trustees.

  12. 30 October 2014

    Reporting duties under Part 4 of the FMC Act

    This information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.

  15. 1 October 2014

    Getting the best outcome from your AMLCFT Audit

    This information is intended to help our REs, especially small financial adviser businesses, get value from their AML/CFT Audit. Adopting all (or any) of these items in discussions with auditors is optional, but we believe that by considering these suggestions, REs are more likely to achieve the best possible results from their audit.