Document Library

Found 1593 results. Displaying page 101 of 107

1. 1 June 2013

   Securities trustees and statutory supervisors monitoring guidance

   This guidance note is for licensed securities trustees and statutory supervisors. It sets out the Financial Market Authority’s (FMA) expectations of how they will carry out their monitoring functions effectively.

2. 1 June 2013

   Monitoring of KiwiSaver Offer Documents

   This 2013 report outlines to issuers, their directors and advisers, our views and observations on current market practices. In FMA’s view the principles outlined in this report are relevant to managed funds in general and not just KiwiSaver schemes.

3. 1 June 2013

   AML/CFT annual monitoring report 2013

   This document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).

4. 1 June 2013

   Auditor regulation and oversight plan 2013 2016

   Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2013-2016 period

5. 14 May 2013

   Fonterra Shareholders' Market Rules - Approval of market rules notice 2013

   The FSM Rules dated 14 May 2013 introduce the Diversity Rule. The Diversity Rule incorporates specific reporting requirements for Fonterra Co-operative Group Limited in relation to gender diversity and diversity policy.

6. 1 May 2013

   Hybrid financial instrument disclosures report 2013

   FMA reviewed the accounting classification and disclosure of financial instruments classified as hybrid instruments listed on the NZX debt market, as at 1 December 2012. This report outlines our findings and recommendations.

7. 18 March 2013

   2013 Annual letter of expectations

   Annual letter of expectation 2013 written by the Minister to the FMA.

8. 15 February 2013

   consultation paper financial advisers australian licensee notice

   The Financial Markets Authority (FMA, or we) are reviewing the Financial Advisers (Australian Licensees) Exemption Notice 2011 (Financial Advisers (Australian Licensees) notice) which expires on 30 June 2013. FMA is keen to hear the views of Australian financial service licence holders who are relying on the Financial Advisers (Australian Licensees) notice and selected stakeholders to determine whether or not to renew the exemption.

9. 1 February 2013

   FMA's Compliance Focus for 2013

   This document outlines the Financial Markets Authority’s (FMA’s) priority areas for monitoring and surveillance in 2013. It provides an opportunity for participants to assess their activities and take steps to improve behaviours and compliance controls in these areas.

10. 30 January 2013

    Expense disclosure CE 2012 jul dec

    CE travel expense disclosure for the period 1 July 2012 - 31 December 2012

11. 30 January 2013

    Expense disclosure CE 2012 july december

    CE expenses disclosure for the period 1 July 2012 - 31 December 2012

12. 30 January 2013

    Expense disclosure CE 2012 jul dec

    CE gifts and hospitality disclosure for the period 1 July 2012 - 31 December 2012

13. 30 January 2013

    Expense disclosure CE hospitality 2012 jul dec

    CE expenses disclosure for the period 1 July 2012 - 31 December 2012

14. 11 January 2013

    Identity code of practice - OIA response

    Identity code of practice OIA response, 11 January 2013

15. 18 December 2012

    Forsyth Barr - Settlement Agreement

    Settlement Agreement with Credit Agricole Corporate and Investment Bank; Credit Sail Limited; Calyon Hong Kong Limited; Forsyth Barr Limited and Forsyth Barr Group Limited, 12 December 2012.