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Document Library

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

Found 1690 results. Displaying page 93 of 113

  2. 16 February 2015

    Westpac - Settlement Agreement

    Settlement agreement with Westpac New Zealand Limited; Westpac Banking Corporation regarding interest rate swaps sales to certain rural customers, 16 February 2015.

  8. 15 January 2015

    Institute of Directors - Directors guide

    This guide from the IoD outlines some of the essential behaviours directors should demonstrate to meet legal, regulatory and ethical standards, and tells you where you can go to find out more.

  10. 19 December 2014

    Consultation Personalised DIMS response to submissions

    The table in this paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”) released on 19 November 2014. Five written submissions were received. The FMA has considered all submissions and our response to the main issues is set out in the table below.

  11. 19 December 2014

    Response to submissions Consultation paper Personalised DIMS.1

    The table in this paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”) released on 19 November 2014. Five written submissions were received. The FMA has considered all submissions and our response to the main issues is set out in the table below.

  13. 17 December 2014

    NZICA Accredited Bodies Report 2014

    This report contains the outcome of our assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2013 to 30 June 2014.