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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 111 of 113

  3. 24 March 2011

    Bernard Whimp - Interim Stop Order

    The High Court, on application from the Securities Commission, has granted interim injunctions to stop shares being transferred to limited partnerships associated with Mr Bernard Whimp.

  6. 1 March 2011

    Good character and criminal convictions guidance note

    The guidance note is intended to answer some of the queries the Commission has received regarding the assessment of good character, as well as provide further guidance on the information applicants need to provide to the Commission in relation to criminal convictions.

  7. 1 March 2011

    AML/CFT Sector Risk Assessment 2011

    Our Sector Risk Assessment (SRA) helps us and the REs we supervise understand the risks of money-laundering (ML) and terrorism financing (TF) in each sector.

  9. 1 December 2010

    Superannuation schemes report 2010

    This report was issued by the Government Actuary and presented to the House of Representatives in 2010 pursuant to Section 194 of the KiwiSaver Act 2006.

  10. 1 July 2010

    Review of Corporate Governance Disclosure by Selected Issuers

    This 2010 report presents the findings of the Securities Commission’s review of corporate governance reporting. The purpose of this report is to inform governing bodies of our findings so that they can reflect critically on their governance practices and disclosures. In so doing, we aim to promote high standards of corporate governance by issuers and ultimately improve confidence in New Zealand’s capital markets. The report was published in 2010.

  14. 3 April 2008

    KiwiSaver performance fees and ethical fund guideline

    In general terms, the costs associated with an ethical fund are similar to the costs associated with a normal equity fund when bottom-up analysis is undertaken. Hence, for funds with similar asset profiles, the Government Actuary would expect the fee levels of ethical funds to be similar to the fee levels of non-ethical funds. However if a global overlay is used, it would be expected that the additional cost necessary for the additional services to be quantified.