Document Library

Found 1690 results. Displaying page 28 of 113

1. 29 September 2022

   FMA Investor checklist

   World Investor Week investing plan checklist.

2. 29 September 2022

   Catalist market operator obligations review 2022

   This report covers the first market obligations review for Catalist, and covers the period from 21 June 2021, the licence commencement date, to 31 March 2022, the end of Catalist’s first reporting period.

3. 27 September 2022

   Securities Industry Association submission

   Consultation submission from Securities Industry Association, 1 Aug 2013: Practical implications of factsheet on Managing Intermediaries feedback

4. 27 September 2022

   Consultation paper Client money or property service provider guidance

   Consultation on proposed guidance on the obligations for client money or property service providers.

5. 27 September 2022

   Feedback form Client money and property service guidance

   Feedback form for consultation client money and property services guidance.

6. 21 September 2022

   WIW2022 Website banners

   World Investor Week 2022 promotion materials. This zip file includes website banners

7. 21 September 2022

   WIW 2022 Social tiles

   World Investor Week 2022 social tiles for sharing purposes.

8. 15 September 2022

   WIW2022 Logos

   World Investor Week 2022 promotion materials. This zip file includes logos

9. 11 September 2022

   KiwiSaver Statements Report 0722

   The KiwiSaver Statements research report commissioned by the FMA July 2022

10. 9 September 2022

    Consultation paper on proposed Regulatory returns for licensed Class 3 financial advice providers

    Public consultation on the proposed regulatory returns that licensed Class 3 financial advice providers will be required to provide to the FMA

11. 9 September 2022

    Feedback form regulatory returns for licensed Class 3 financial advice providers

    Feedback form for public consultation on the proposed regulatory returns that licensed Class 3 financial advice providers will be required to provide to the FMA

12. 9 September 2022

    Financial Markets Conduct NZX NZ Markets Disciplinary Rules Approval of Rule Change Notice 2022

    This notice is the Financial Markets Conduct (NZX NZ Markets Disciplinary Tribunal Rules) Approval of Rule Change Notice 2022.

13. 9 September 2022

    Proposed annual regulatory return information to be provided by licensed CLASS 3 FAPs to the FMA (questions)

    Proposed annual regulatory return information to be provided by licensed CLASS 3 Financial advice providers (FAPs) to the FMA

14. 31 August 2022

    Wisdom House and Yuen Pok (Paul) Loo - Stop Order

    The permanent stop order that applies to Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo, after they engaged in misleading and dishonest conduct, that the FMA ordered on 31 August 2022.

15. 29 August 2022

    Kalkine New Zealand Limited - Direction Order

    FMA directs Kalkine New Zealand Limited to stop making outgoing sales calls to people in New Zealand following concerns about the entity’s misleading marketing conduct. 10 August 2022.