Document Library

Found 1597 results. Displaying page 38 of 107

1. 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.

2. 23 March 2021

   Exemption notice - Financial Markets Conduct Trustee Executors Limited

   Financial Markets Conduct (Trustees Executors Limited) Exemption Notice 2021

3. 18 March 2021

   Exemption Notice - QBE Group 2021

   Financial Markets Conduct Exemption Notice 2021: QBE Group.

4. 16 March 2021

   Exemption notice - EML Payment Solutions

   EML Payment Solutions Exemption Notice 2021

5. 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

6. 11 March 2021

   2021/22 Letter of Expectations from the Minister

   2021/22 Letter of Expectations from the Minister

7. 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.

8. 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.

9. 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.

10. 9 March 2021

    Proposed exemption restricted schemes feedback form

    Consultation feedback form: restricted schemes

11. 3 March 2021

    Exemption notice - Allianz Australia Insurance Limited

    Allianz Australia Insurance Limited Exemption Notice 2021.

12. 2 March 2021

    Exemption notice - Financial Markets Conduct ICAP Brokers Pty Limited and ICAP New Zealand Limited

    Financial Markets Conduct (ICAP Brokers Pty Limited and ICAP New Zealand Limited) Exemption Notice 2021

13. 19 February 2021

    Exemption notice - Financial Markets Conduct Insider Trading Livestock Improvement Corporation Limited

    Financial Markets Conduct (Insider Trading - Livestock Improvement Corporation Limited) Exemption Notice 2021

14. 17 February 2021

    NZX Derivatives Market Rules Approval of Rule Change Notice Feb 2021

    Pursuant to section 331 of the Act, the FMA approves changes to the NZX Derivatives Market Rules in accordance with the proposed amendments provided for approval by NZX to the FMA on 22 December 2020.

15. 12 February 2021

    ANZ Bank New Zealand Limited - High Court Judgment

    On 4 June 2020 the Financial Markets Authority (“FMA”) filed civil proceedings against ANZ Bank New Zealand Limited (“ANZ”) alleging various breaches of the Financial Markets Conduct Act 2013 (“the Act”). This is the High Court Judgment.