Document Library

Found 1690 results. Displaying page 76 of 113

1. 10 March 2017

   Exemption Notice - Financial Markets Conduct JP Morgan Chase Bank N.A.

   Financial Markets Conduct (JP Morgan Chase Bank N.A.) Exemption Notice 2017

2. 9 March 2017

   Submissions Report KiwiSaver guidance note

   This submissions report is in response to submissions on the draft KiwiSaver advice guidance note consultation, 2017.

3. 9 March 2017

   KiwiSaver sales and advice guidance

   This guidance note is for advisers and financial firms advising on KiwiSaver products.

4. 6 March 2017

   Adviser point of retirement research report 2017

   This report summarises feedback we gathered from 10 authorised financial advisers about advice close to or at retirement. It also includes feedback from 104 people currently receiving advice from financial advisers. The purpose of this research was to find out if financial advice helps New Zealanders manage their retirement savings. It forms part of a wider FMA project to understand the financial help and advice people receive when they retire.

5. 6 March 2017

   Consultation paper Disclosing non GAAP financial information

   This guidance note is primarily for FMC reporting entities and their directors. It aims to outline the FMA's expectations on the use of non-GAAP financial information.

6. 3 March 2017

   Mark Warminger - Judgment

   Mark Warminger Judgment in the HIgh Court issued in the case brought about by the FMA March 2017.

7. 20 February 2017

   Conduct Outcomes Report 2016

   This report highlights the key issues and actions from our enforcement, supervision and preventative activities in the period 1 July 2015 to 30 June 2016.

8. 16 February 2017

   2017 Letter of Expectations

   The letter of expectation 2017 is delivered by the Minister to the FMA to formalise expectation of the FMA as a Crown entity.

9. 15 February 2017

   New Zealand Law Society - MOU

   MOU concerning consultation, cooperation and the exchange of information between the FMA and the New Zealand Law Society

10. 2 February 2017

    Submissions Report Conduct Guide consultation

    This is a summary of the submissions received by the FMA in response to the consultation of draft guide to the FMA's view of conduct, 2017.

11. 2 February 2017

    FMAs view of conduct guidance

    This guidance note is for: directors and executives of licensed financial services providers. The guide was published in 2017.

12. 30 January 2017

    Expense disclosure CE Gifts July December 2016

    CE gifts and hospitality disclosure for the period 1 June 2016 - 31 December 2016

13. 30 January 2017

    Expense disclosure CE Other July December 2016

    CE expenses disclosure for the period 1 July 2016 - 31 December 2016

14. 30 January 2017

    Expense disclosure CE Travel July December 2016

    CE expenses disclosure for the period 1 July 2016 - 31 December 2016

15. 25 January 2017

    Regulatory Impact Statement – Forestry schemes 2017

    This document is for managers, supervisors, custodians and investors in forestry schemes. It discusses exemptions granted to forestry schemes.