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Document Library

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

Found 1628 results. Displaying page 95 of 109

  1. 30 August 2014

    Guidance - One off Issuers

    This information sheet clarifies when one-off or occasional issuers must register on the Financial Service Providers Register (FSPR) under the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (in addition to any disclosure obligations that they may have under the Financial Markets Conduct Act 2013).
    Tags
    FSPR, Business
    Type
    PDF, Information Sheet

  2. 14 August 2014

    Money Week Survey Report 2014

    2014 research report about New Zealanders' attitudes to investment.
    Tags
    Consumer
    Type
    PDF, Research

  4. 1 August 2014

    Fair dealing provisions transitional arrangements for advertising information sheet

    The fair dealing provisions relating to “financial products” and “financial services” make it an offence to engage in misleading or deceptive conduct in relation to financial products or to make false, misleading or unsubstantiated representations about financial products.
    Tags
    Fair dealing, Derivative Issuer, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Information Sheet

  5. 30 July 2014

    Expense disclosure CE gifts 2014 jan jun

    CE gifts and benefits disclosure for the period 1 January 2014 - 30 June 2014
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  9. 30 July 2014

    Expense disclosure CE gifts 2014 jan feb

    CE gift and hospitality disclosure for the period 1 January 2014 - 30 June 2014
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  11. 3 July 2014

    Review of non-filing of financial statements

    The purpose of this report is to remind directors of their statutory financial reporting obligations under the Financial
    Reporting Act 1993 (FRA), remind brokers and directors of the statutory filing obligations under the Securities Act (Contributory Mortgage) Regulations 1988, inform market participants of the findings of our review and highlight areas of concern, and inform market participants of FMA’s future focus in this area.
    Tags
    Client money or property services provider, Directors, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  13. 1 July 2014

    Financial Dispute Resolution Scheme - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and Fairway Resolution Limited trading as Financial Dispute Resolution Scheme
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  14. 1 July 2014

    Serious Fraud Office (SFO) - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Serious Fraud Office
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  15. 30 June 2014

    Going Concern disclosures in financial statements

    The purpose of this 2014 report is to inform market participants of the findings of our review and highlight areas of concern.
    Tags
    Reports and Papers, Auditors, Directors, Roles, Business, News & Insights
    Type
    PDF, Financial reporting