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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 100 of 113

  1. 1 April 2014

    FMA’s new role as regulator of conduct

    From 1 April 2014 FMA replaces the Commerce Commission as the primary regulator of conduct in relation to financial products and services. Find out what this means.

  2. 31 March 2014

    Commerce Commission - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Commerce Commission

  5. 1 March 2014

    Unsolicited Offers Monitoring Report 2014

    The Securities Markets (Unsolicited Offers) Regulations 2012 came into force on 1 December 2012, in response to concerns about ’low ball’ offers. FMA closely monitored compliance with the new regulations as one of our focus areas in 2013 for building customer trust. In this report we set out our findings and observations. These are based on our monitoring activities to 14 February 2014.

  9. 1 February 2014

    Investor experience of IPOs - research report

    This document explores attitudes towards investing in New Zealand’s financial markets, understand the experience of investing in New Zealand’s financial markets, understand the impact of offer documentation on investment decisions, and additionally, this research aims to provide profiling information on New Zealand investors. February 2014

  10. 1 February 2014

    Broker Obligations guidance note

    The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.