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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 107 of 113

  1. 7 December 2012

    Class exemption review final consultation paper

    In this paper we provide an update and seek submissions on proposals relating to the review the Financial Markets Authority (FMA, or we) are undertaking on 17 class exemption notices - December 2012.

  4. 1 December 2012

    Issuers of securities and participants in issues guideline

    This guideline is for businesses registered on the Financial Services Providers Register (FSPR) as an issuer of securities or who participate in issues of securities. If you are either of them, this guideline will help you to determine if you have obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (AML/CFT Act).

  5. 1 December 2012

    Commerce Commission v Forsyth Barr - Settlement Agreement

    Settlement Agreement with the Commerce Commission by Forsyth Bar Limited; Forsyth Barr Group Limited; Credit Agricole Corporate and Investment Bank; Credit Sall Limited; Calyone Hong Kong Limited. December 2012.

  7. 19 October 2012

    Superannuation Schemes Report 2012

    This report was issued by the Government Actuary and presented to the House of Representatives in 2012 pursuant to Section 194 of the KiwiSaver Act 2006.

  10. 1 October 2012

    KiwiSaver Report 2012

    This report also contains the fifth annual summary of statistical returns of KiwiSaver schemes, based on the Annual Returns for the period ended 31 March 2012, lodged by each individual scheme as required by section 125 of the Act.

  11. 1 September 2012

    Pre-prospectus publicity - some practical guidance for issuers and their advisers

    This guidance note is intended for issuers of securities, their directors and advisers. It sets out the Financial Markets Authority’s (FMA) view on the boundaries of pre-regulated offer publicity/advertising (also commonly referred to as ‘pre-prospectus publicity’), as required by the Securities Act 1978 (Act) and FMA’s policy on the scope of pre-prospectus publicity it will support by exemption.