Document Library

Found 1629 results. Displaying page 60 of 109

1. 24 April 2019

   Exemption Notice - Financial Markets Conduct Goldman Sachs

   Financial Markets Conduct Exemption Notice 2019: Goldman Sachs.

2. 16 April 2019

   Exemption Notice - RIS Group Limited

   Financial Markets Conduct Exemption Notice 2019: RIS Group Limited.

3. 15 April 2019

   2019 Annual Letter of expectations

   Annual letter of expectations from the Minister April 2019

4. 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.

5. 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.

6. 9 April 2019

   Mark Stephen Talbot - Sentencing Notes

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

7. 5 April 2019

   Exemption Notice - OnePath Custodians Pty Limited

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

8. 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

9. 3 April 2019

   Exemption Notice - Financial Markets Conduct Harbour Investment Funds

   Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019

10. 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.

11. 31 March 2019

    31 March 2019 Disclose Register KiwiSaver fund updates

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

12. 31 March 2019

    31 March 2019 Disclose Register MIS fund updates

    This document is the Disclose Register for MIS fund updates for 31 March 2019

13. 28 March 2019

    Richard Owen Dey - Notice of decision NZICA

    Notice by the NZ Institute of Chartered Accountants and notice of decision and order of the professional conduct committee on 4 February2019 in respect of Richard Owen Dey.

14. 27 March 2019

    Michael Derek Wood - notice of decision NZICA

    New Zealand Insitute of Chartered Accountants notice of decision and order of the professional conduct committee with regards to Michael Derek Wood in March 2019.

15. 22 March 2019

    Complaints against AFAs and RFAs - OIA response

    OIA, dated 22/03/2019, regarding complaints made to the FMA about Authorised Financial Advisers and Registered Financial Advisers over the last five years