Document Library

Found 1686 results. Displaying page 105 of 113

1. 1 August 2013

   Trustees Executors submission

   Submission from Trustees Executors in response to the Consultation paper: practical implications of reporting entities transacting with other reporting entities

2. 1 August 2013

   Consultation submission Buddle Findlay

   Submission on Consultation Paper: Practical Implications of reporting entities transacting with other reporting entities and the factsheet on managing intermediaries

3. 1 August 2013

   Westpac submission

   Submission from Westpac New Zealand Limited in response to the Consultation Paper: Practical implications of reporting entities transacting with other reporting entities, 8 Aug 2013

4. 30 July 2013

   Expense disclosure CE gifts 2013 jan jun

   CE gifts and hospitality disclosure for the period 1 January 2013 - 30 June 2013

5. 30 July 2013

   Expense disclosure CE hospitality 2013 jan jun

   CE expenses disclosure for the period 1 January 2013 - 30 June 2013

6. 30 July 2013

   Expense disclosure CE 2013 jan jun

   CE expenses disclosure for the period 1 January 2013 - 3 June 2013

7. 30 July 2013

   Expense disclosure CE travel 2013 jan jun

   CE expenses disclosure for the period 1 January 2013 - 30 June 2013

8. 30 July 2013

   Expense disclosure CE Travel 2015 Jan Jun

   CE expenses disclosure for the period 1 January 2015 - 30 June 2013

9. 12 July 2013

   consultation paper charitable and religious purposes exemption review

   In this paper we seek submissions on proposals relating to the review the Financial Markets Authority (FMA) is undertaking on the Securities Act (Charitable and Religious Purposes) Exemption Notice 2003 (SR 2003/66) (the CRP Notice), which is due to expire on 30 November 2013. FMA is reviewing the CRP Notice simultaneously with the Reserve Bank of New Zealand’s review of the appropriate treatment of charitable and religious organisations under the Non-bank Deposit Takers regime.

10. 11 July 2013

    consultation paper practical implications of reporting entities transacting with other reporting entities and the factsheet on managing intermediaries

    In this paper FMA seeks submissions on the practical implications of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘AML/CFT Act’) in situations where reporting entities are transacting with other reporting entities.

11. 1 July 2013

    FMA progress review stakeholder feedback report 2013

    This report is the result of a review conducted by Oliver Wyman focusing on stakeholder perspectives on achievements, short-comings and future priorities for New Zealand’s Financial Markets Authority. The report was published in July 2013

12. 29 June 2013

    NZX Obligations Review 2013

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2013.

13. 13 June 2013

    Investigations and Enforcement Report 2013

    This report highlights the key issues and themes that have emerged through FMA’s investigations and enforcement activities from July 2012 to June 2013.

14. 11 June 2013

    National Finance - Appeal Judgment

    Court of Appeal Judgment in the case against Trevor Allan Ludlow, 7 June 2013.

15. 1 June 2013

    Securities trustees and statutory supervisors monitoring guidance

    This guidance note is for licensed securities trustees and statutory supervisors. It sets out the Financial Market Authority’s (FMA) expectations of how they will carry out their monitoring functions effectively.