Back

Document Library

A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1690 results. Displaying page 81 of 113

  3. 24 August 2016

    Aug 2016 Regulatory response guidelines

    This is a guide on how we regulate financial markets and the responses we use in enforcing legislation. It is for all individuals and businesses involved in providing financial market products and services.

  4. 24 August 2016

    FMA Co-operation policy 2016

    The Financial Markets Authority (FMA) often receives the co-operation of entities or individuals when we investigate financial market misconduct. When deciding whether to pursue a regulatory response against an entity or individual, and if so, what sanction to use, one of the factors we may consider is the nature and extent of any co-operation they have provided.

  6. 23 August 2016

    Takeovers Panel - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and The Takeovers Panel

  9. 15 August 2016

    Legislative notices supporting the FMC Act regime

    To support businesses implementing the Financial Markets Conduct Act 2013 (FMC Act), the FMA has been working, in consultation with the sector, on various legislative tools such as exemptions, frameworks, methodologies, public accountability notices, and designations (the FMA’s legislative tools). We have also been working with the Ministry of Business, Innovation, and Employment (MBIE) on the amendments to the Financial Markets Conduct Regulations 2014 (FMC Regulations). These tools and regulatory amendments are designed to help businesses and individuals comply with the requirements of the FMC Act regime.

  10. 4 August 2016

    Review of corporate goverance disclosure 2016

    This 2016 report presents our review of corporate governance reporting. We are sharing these findings with companies so they can reflect on their governance practices and disclosures.