Document Library

Found 1628 results. Displaying page 37 of 109

1. 29 March 2021

   Expense Disclosure CE Hospitality Dec 2020

   CE expense disclosure for the period 1 July 2020 - 31 December 2020.

   Tags

   Executive expenses, FMA

   Type

   PDF

2. 29 March 2021

   Expense Disclosure CE Dec 2020

   CE Gifts and benefits disclosure for the period 1 July 2020 - 31 December 2020.

   Tags

   Chief Executive Gifts and Benefits Disclosure, FMA

   Type

   PDF

3. 29 March 2021

   Expense Disclosure CE Other Dec 2020

   CE expense disclosure for the period 1 July 2020 - 31 December 2020.

   Tags

   Executive expenses, FMA

   Type

   PDF

4. 26 March 2021

   Common sense for your dollars and cents

   New rules around financial advice came into play in March 2021. The Financial Markets Authority explains the changes and why they are good news for everyday New Zealanders.

   Tags

   Financial advice, Consumer

   Type

   PDF

5. 26 March 2021

   Exemption notice - AIA International Limited

   Financial Markets Conduct (AIA International Limited)
   Exemption Notice 2021.
   

   Tags

   Exemptions, Business

   Type

   PDF

6. 25 March 2021

   Consultation Response to submissions regulatory returns DI MIS DIMS

   Response to consultation submissions: Content of regulatory returns for licensed DI, MIS managers and DIMS providers.

   Tags

   Derivative Issuer, Discretionary investment management scheme (DIMS), Managed investment schemes, Consultations, Roles, Business

   Type

   PDF

7. 23 March 2021

   Exemption notice - Financial Markets Conduct Trustee Executors Limited

   Financial Markets Conduct (Trustees Executors Limited) Exemption Notice 2021

   Tags

   Exemptions, Business

   Type

   PDF

8. 18 March 2021

   Exemption Notice - QBE Group 2021

   Financial Markets Conduct Exemption Notice 2021: QBE Group.

   Tags

   Exemptions, Business

   Type

   PDF

9. 16 March 2021

   Exemption notice - EML Payment Solutions

   EML Payment Solutions Exemption Notice 2021

   Tags

   Exemptions, Business

   Type

   PDF

10. 16 March 2021

    Exemption notice - Financial Markets Conduct Merrill Lynch Pierce Fenner Smith Incorporated

    Financial Markets Conduct Merrill Lynch Pierce Fenner Smith Incorporated Exemption Notice 2021

    Tags

    Exemptions, Business

    Type

    PDF

11. 11 March 2021

    2021/22 Letter of Expectations from the Minister

    2021/22 Letter of Expectations from the Minister

    Tags

    Annual letter of expectations from the Minister, FMA

    Type

    PDF

12. 10 March 2021

    Consultation paper Proposed class exemption for restricted schemes

    Consultation paper: Proposed class exemption for
    restricted schemes from certain disclosure and
    reporting obligations.

    Tags

    Consultations, Business

    Type

    PDF

13. 9 March 2021

    Proposed exemption restricted schemes feedback form

    Consultation feedback form: restricted schemes

    Tags

    Consultations, Business

    Type

    Word document, Feedback form

14. 9 March 2021

    Consultation Recognition of Australian adviser qualifications submissions report

    The following submissions were received in response to our consultation on recognition of Australian adviser
    qualifications.

    Tags

    Financial Adviser, Consultations, Roles, Business

    Type

    PDF

15. 9 March 2021

    Financial Markets Conduct (Australian Licensees) Exemption Notice 2020 guidance note

    This guidance note 2020 provides an overview of the exemption notice relating to Australian advice businesses giving advice to New Zealand retail clients, and the circumstances in which a business may be able to rely on it.
    

    Tags

    Financial Adviser, Roles, Exemptions, Business

    Type

    PDF, Guidance