Document Library

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

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Found 1690 results. Displaying page 20 of 113

23 June 2023

Submission form Proposed guidance for keeping proper CRD records

Submission form for response to the Consultation - Proposed guidance for keeping proper CRD records
20 June 2023

Consultation paper Proposed exemptions for CREs in liquidation receivership or voluntary administration

Consultation paper to provide a class exemption to provide relief from climate reporting duties for CREs that are in liquidation, receivership, or voluntary administration.
20 June 2023

Submission form Proposed exemptions for CREs in liquidation receivership or voluntary administration

Submission form for consultation responses - proposed exemptions for CREs in liquidation, receivership, or voluntary administration.
15 June 2023

ICE Futures Europe general obligations review 2023

The 2023 ICE Futures Europe general obligations review focuses on whether the FCA was satisfied with IFEU’s compliance during the review period.
15 June 2023

ICE Futures US general obligations review 2023

The 2023 ICE Futures US general obligations review review focuses on whether the CFTC was satisfied with IFUS’s compliance during the review period.
12 June 2023

Exemption notice - Fonterra capital return

The exemption Notice exempts Fonterra Co-operative Group Limited (Fonterra) from Part 3 of the Financial Markets Conduct Act 2013 (the FMC Act), in relation to a capital return and contemporaneous share subdivision, pursuant to a court-approved scheme of arrangement.
8 June 2023

Exemption Notice - Financial Market Conduct Christchurch City Holdings limited Subsidiary Balance Date Alignment

Financial Market Conduct (Christchurch City Holdings Limited Subsidiary Balance Date Alignment) Exemption Notice 2023.
31 May 2023

Consultation paper Renewal of class exemption for same class offers ASX NZX quoted financial products

Consultation paper for Renewal of class exemption for same class offers ASX/NZX-quoted financial products.
31 May 2023

Feedback form Renewal of class exemption for same class offers

Feedback form for Consultation: Renewal of class exemption for same class offers ASX/NZX-quoted financial products.
19 May 2023

Derivative Issuer Regulatory Return Data Template

Regulatory return data template for derivative issuers.
19 May 2023

DIMS Regulatory Return Data Template

DIMS Regulatory Return Data Template.
19 May 2023

FMA Annual Letter of Expectations for 2024

Annual letter of expectations from the Minister to the FMA for the priod 2023-2024.
18 May 2023

Exemption Notice - Embark Early Education Limited

The Financial Markets Conduct (Embark Early Education Limited) Exemption Notice 2023 exempts Embark Early Education Limited (Embark AU) from Part 3 of the Financial Markets Conduct Act 2013 (the Act) in relation to shares in Embark AU that are to be offered to eligible shareholders under a proposed scheme of arrangement pursuant to Part 15 of the Companies Act 1993.
15 May 2023

NZ RegCo - MOU

This memorandum of understanding (MOU) sets out the framework for engagement and cooperation between the FMA and NZ RegCo, which takes into account their complementary regulatory roles.
10 May 2023

Exemption notice - Sharesies Investment Management Limited

The Notice exempts Sharesies Investment Management Limited (Sharesies) as manager of the Sharesies KiwiSaver Scheme (Scheme), and the self-select fund in the Scheme (self-select fund) from certain provisions of the Financial Markets Conduct Act 2013.