Document Library

Found 1687 results. Displaying page 58 of 113

1. 20 May 2019

   Audit Quality Perceptions - research summary 2019

   The FMA commissioned Buzz Channel to conduct research to help understand how users of audit services in New Zealand perceive auditors’ contribution to fair, efficient and transparent NZ financial markets.

2. 14 May 2019

   5 Most Expensive Trials - OIA response

   OIA response, dated 14 May 2019, regarding the FMA’s five most expensive trials, what they involved and a summary of costs

3. 1 May 2019

   Audit Quality Perceptions Research report 2019

   The overall aim of this research is to inform FMA of public and industry perceptions of the audit quality in NZ and enable them to target work to increase understanding of the auditor’s role, strengthen perceived value of that role, along with knowledge of the FMA’s role of oversight and regulationof auditors.

4. 1 May 2019

   Financial reporting reviews 2019

   This statement outlines our approach to financial reporting reviews, and highlights selected areas of interest for 2019/20 reviews.

5. 1 May 2019

   Morgan De Vere Corporate Finance Limited - Court decision

   District Court decision in the case against Morgan De Vere Corporate Finance Limited, 1 May 2019.

6. 24 April 2019

   Exemption Notice - Financial Markets Conduct Goldman Sachs

   Financial Markets Conduct Exemption Notice 2019: Goldman Sachs.

7. 16 April 2019

   Exemption Notice - RIS Group Limited

   Financial Markets Conduct Exemption Notice 2019: RIS Group Limited.

8. 15 April 2019

   2019 Annual Letter of expectations

   Annual letter of expectations from the Minister April 2019

9. 12 April 2019

   ANZ Bank New Zealand Limited - Supreme Court Judgment

   Supreme Court Judgment in the case against ANZ Bank New Zealand Limited, 12 April 2019.

10. 9 April 2019

    Mark Talbot - Enforceable Undertaking

    Mr Talbot has offered this enforceable undertaking following an investigation made by the FMA into his trading of shares in VMob Group Limited (VMob). 3 April 2019.

11. 9 April 2019

    Mark Stephen Talbot - Sentencing Notes

    High Court Sentencing remarks in the case against Mark Stephen Talbot, 9 April 2019.

12. 5 April 2019

    Exemption Notice - OnePath Custodians Pty Limited

    Financial Markets Conduct Exemption Notice 2019: OnePath Custodians Pty Limited.

13. 4 April 2019

    Financial Markets Conduct - NZX Listing Rules Approval of Rule Change Notice

    This notice allows NZX to replace the NZX Issuer Rules, dated 1 January 2016, with the corresponding amended rules with effect from 1 January 2020 or as otherwise determined by NZX in accordance with the Participant Rule 1.4.1

14. 3 April 2019

    Exemption Notice - Financial Markets Conduct Harbour Investment Funds

    Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019

15. 1 April 2019

    AML/CFT Annual Monitoring Report 2018

    This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and its supporting regulations.