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Document Library

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

Found 1686 results. Displaying page 38 of 113

  1. 20 August 2021

    Sharesies Limited - Formal Warning

    FMA issued a formal warning to Sharesies Limited and Sharesies Nominee Limited for failing to have sufficient anti-money laundering procedures, policies, and controls in place.

  5. 12 August 2021

    OIAP Referrals to FMA under FSP Act

    OIAP response dated 12 August 2021, Referrals to FMA under FSP Act - Request for statistics relating to referrals to the FMA under the FSP Act 

  7. 10 August 2021

    Domain Name Commission Limited - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Domain Name Commission Limited

  9. 2 August 2021

    Retail Investor Platforms Research

    The objectives of the research were to understand the type of profile of investors in retail platforms; their risks and behaviours within these platforms and motivations and influences that brought them to where they are. The research was conducted by Colmar Brunton in July 2021