Document Library

Found 1643 results. Displaying page 77 of 110

1. 7 April 2017

   Exemption Notice - The City of London Investment Trust plc

   Financial Markets Conduct Exemption Notice 2017 - The City of London Investment Trust plc.

2. 7 April 2017

   Exemption Notice - Stride Property Group

   Financial Markets Conduct (Stride Property Group) Exemption Notice 2017

3. 3 April 2017

   Consultation paper Short duration derivatives

   This consultation is for: interested parties including offerors, investors and legal advisers. It aims to: gain feedback on the impact of a class designation for short duration derivatives.

4. 31 March 2017

   31 March 2017 Disclose Register KiwiSaver fund updates

   This document is the Disclose Register for KiwiSaver fund updates for 31 March 2017

5. 28 March 2017

   European Securities and Markets Authority (ESMA) - MOU

   MOU concerning consultation, cooperation and the exchange of information between the FMA and the European Securities and Markets Authority (ESMA)

6. 16 March 2017

   Exemption notice - Financial Markets Conduct Deutsche Bank AG

   Financial Markets Conduct (Deutsche Bank AG) Exemption Notice 2017

7. 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

8. 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.

9. 9 March 2017

   KiwiSaver sales and advice guidance

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

10. 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.

11. 3 March 2017

    Mark Warminger - Judgment

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

12. 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.

13. 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.

14. 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

15. 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.