Document Library

Found 1690 results. Displaying page 27 of 113

1. 20 October 2022

   Williams Corporation Capital Partnership GP Limited - Formal Warning

   The FMA issued a formal warning to Williams Corporation Capital Partnership GP Limited following concerns that it may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to.

2. 20 October 2022

   Wolfbrook Capital Limited - Formal Warning

   The FMA issued a formal warning to Wolfbrook Capital Limited following concerns that they may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to.

3. 19 October 2022

   InvestNow Saving and Investment Service Limited - Warning

   Formal warning from FMA to InvestNow Saving and Investment Service Limited for failing to comply with anti-money laundering.

4. 12 October 2022

   AML/CFT Designated Business Group – Scope Guideline

   This guideline is designed to help reporting entities understand which obligations may be shared by members of a designated business group (DBG).

5. 10 October 2022

   Consultation FAP Class 2 regulatory returns

   This consultation is intended for Class 2 licensed financial advice providers (FAPs).

6. 10 October 2022

   Consultation FAP Regulatory Returns Class 1

   This consultation document is intended for Class 1 licensed financial advice providers (FAPs).

7. 10 October 2022

   Feedback form FAP Regulatory Returns Class 1 Consultation

   Feedback form for proposed regulatory returns for licensed Class 1 financial advice providers (FAPs)

8. 10 October 2022

   Feedback form FAP Class 2 Regulatory Returns consultation

   Feedback form for consultation - Class 2 FAP regulatory returns.

9. 10 October 2022

   Questions for FAP Class 2 regulatory returns

   Questions you will be asked online when you submit your FAP Class 2 regulatory return.

10. 5 October 2022

    Climate risks and the impact on financial statement audits

    This document provides clarity for auditors about the expectations for information about climate risks in audit files.

11. 4 October 2022

    KiwiSaver Annual Report 2022

    KiwiSaver Annual Report published by the FMA 2022.

12. 3 October 2022

    Consultation paper guidance accounting records

    Consultation paper: Proposed guidance and expectations for keeping proper accounting records

13. 3 October 2022

    Feedback form accounting records consultation

    Feedback form: consultation proposed guidance for keeping proper accounting records.

14. 30 September 2022

    Climate related disclosure Record keeping initial monitoring approach

    FMA's initial monitoring approach for climate-related record keeping - to inform and support new climate reporting entities to meet their statutory reporting requirements.

15. 30 September 2022

    AIA New Zealand Ltd - Judgment

    23 September 2022 The Auckland High Court ordered life insurer AIA to pay a pecuniary penalty of $700,000 for making false and/or misleading representations to some customers.