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Found 1643 results. Displaying page 54 of 110

1. 26 March 2020

   AML/CFT Complying with AML/CFT verification requirements during COVID-19 Alert Levels

   This guidance is for reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act) during COVID-19 Alert Levels.

2. 20 March 2020

   Tiger Brokers (NZ) Limited - Formal Warning

   FMA issued a formal warning to NZX-accredited broker Tiger Brokers (NZ) Limited for failing to have several adequate anti-money laundering protections in place. 20 March 2020.

3. 18 March 2020

   Exemption Notice - Centuria Capital Group

   Financial Markets Conduct (Centuria Capital Group) Exemption Notice 2020.

4. 3 March 2020

   2020/21 Annual letter of expectations

   Annual letter of expectations from the Minister 2020/21

5. 28 February 2020

   Exemption Notice - Vital Healthcare Property Trust Restructure Disclosure

   Financial Markets Conduct Exemption Notice 2020: Vital Healthcare Property Trust Restructure Disclosure.

6. 24 February 2020

   Conduct and Culture Review report 2019 - OIA request

   OIA response, dated 24/02/2020, asking for a copy of the Bank Conduct and Culture Review (or Life Insurer Conduct and Culture Review) 2019

7. 14 February 2020

   CE Expenses Disclosure Gifts JulDec19

   CE expense disclosure for the period 1 July 2019 - 31 December 2019.

8. 14 February 2020

   CE Expenses Disclosure Hospitality JulDec19

   CE expense disclosure for the period 1 July 2019 - 31 December 2019.

9. 14 February 2020

   CE Expenses Disclosure Travel JulDec19

   CE travel expense disclosure for the period 1 July 2019 - 31 December 2019

10. 14 February 2020

    CE Expenses Disclosure Other JulDec19

    CE expense disclosure for the period 1 July 2019 - 31 December 2019

11. 12 February 2020

    CPA Australia accredited body report 2020

    This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2019 to 30 June 2020.

12. 29 December 2019

    31 December 2019 Disclose Register KiwiSaver fund updates

    This document is the Disclose Register for KiwiSaver fund updates for 31 December 2019

13. 29 December 2019

    31 December 2019 Disclose Register MIS fund updates

    Disclose Register MIS fund updates for 31 Dec 2019

14. 18 December 2019

    Conduct and Culture implementation and planning from banks - OIA request

    OIA response, dated 18 December 2019, discussing bank plans and progress on implementation of the Conduct and Culture report changes and what types of action the FMA will take if it is unsatisfied with the outcome or urgency of the banks’ behaviour in establishing or implementing said plans

15. 13 December 2019

    Green bonds same class exclusion info sheet 2019

    This information sheet explains the circumstances in which an issuer can make an offer of green bonds under the same class exclusion. It also explains when the Financial Markets Authority (FMA) might consider granting an individual exemption to facilitate offers of green bonds with the same credit characteristics as quoted ‘vanilla’ bonds from the same issuer.