Document Library

Found 1643 results. Displaying page 86 of 110

1. 22 March 2016

   Response to submissions proposed variations to standard conditions of market services licences

   This document summarises key themes from the 18 written submissions we received following consultation in November and December 2016 on our proposals to vary certain standard conditions for market service licences.

2. 18 March 2016

   Exemption Notice 2016 - Spark New Zealand Limited Group

   Financial Markets Conduct Exemption Notice 2016: Spark New Zealand Limited Group.

3. 17 March 2016

   Exemption Notice 2016 - Financial Markets Conduct Diligent Corporation

   Financial Markets Conduct Exemption Notice 2016: Diligent Corporation.

4. 15 March 2016

   Exemption Notice 2016 - Allianz Australia Insurance Limited

   Financial Markets Conduct Exemption Notice 2016 issued to Allianz Australia Insurance Limited.

5. 11 March 2016

   Exemption Notice - Financial Markets Conduct AMP Wealth Management New Zealand Limited Australian Registers

   Financial Markets Conduct (AMP Wealth Management New Zealand Limited - Australian Registers) Exemption Notice 2016

6. 3 March 2016

   IFIAR Survey of Inspection Findings 2015

   In 2015, the International Forum of Independent Audit Regulators (IFIAR) conducted its fourth annual survey of findings (Survey) identified by its Members in their individual inspections of audit firms affiliated with six large, international audit firmnetworks, referred to as the GPPC networks.

7. 1 March 2016

   Consultation paper Exemptions impacting overseas businesses and restricted schemes 1

   This consultation is for: FMC reporting entities, licensed managers and scheme auditors, overseas banks, licensed independent trustees, restricted scheme managers, advisers and interested parties. It aims to seek feedback on the exemption proposals explained.

8. 25 February 2016

   Performance Fee Disclosure information sheet

   This information sheet outlines how we expect fund managers to disclose performance-based fees to investors.

9. 25 February 2016

   PIR Returns information sheet

   This information sheet sets out the formula we expect managers of portfolio investment entity (PIE) funds to use when calculating a fund’s return with a 0% prescribed investor rate.

10. 23 February 2016

    Exemption Notice - Snakk Media Limited Share Sale Plan

    Financial Markets Conduct (Snakk Media Limited Share Sale Plan) Exemption Notice 2016

11. 16 February 2016

    2016 FMA letter of Expectations

    The annual letter of expectations 2016 issued by the Minister to the FMA that sets out expectations of the Minister to the FMA as a crown entity.

12. 10 February 2016

    Regulatory impact statement - Investor warning and acknowledgement exemptions for the $750,000 minimum investment wholesale investor exclusion

    This regulatory impact statement analyses options considered in course of policy work leading to a final decision to exempt offerors of certain debt securities relying on the $750,000 minimum investment wholesale investor exclusion, on conditions, from having to include investor warnings on offer documents and obtain an investor acknowledgement.

13. 2 February 2016

    Guide for charities

    This information sheet outlines the options for community and voluntary organisations wanting to borrow money from investors. (This does not include donations).

14. 1 February 2016

    AML/CFT annual monitoring report 2015

    The aim of this report is to summarise our monitoring to help firms and individuals better understand our expectations, and therefore improve their systems and processes, and ensure compliance with the Act. This report covers the period from 1 July 2014 to 30 June 2015.

15. 1 February 2016

    Consumer advisory network - charter of participation

    Consumer Advisory Network charter of participation 2016