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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 104 of 109

  5. 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.
    Tags
    Settlement, Enforcement
    Type
    PDF

  6. 13 December 2012

    Commissione Nazionale per le Societa e la Borsa (Italy) - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Commissione Nazionale per le Societa e la Borsa (Italy).
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  7. 7 December 2012

    Class exemption review final consultation paper

    In this paper we provide an update and seek submissions on proposals relating to the review the Financial Markets Authority (FMA, or we) are undertaking on 17 class exemption notices - December 2012.
    Tags
    Exemptions, Business
    Type
    PDF

  9. 3 December 2012

    FMA Annual Report 2012

    FMA Annual Report 2012.
    Tags
    Type
    PDF, Annual report, Corporate publications

  10. 1 December 2012

    Issuers of securities and participants in issues guideline

    This guideline is for businesses registered on the Financial Services Providers Register (FSPR) as an issuer of securities or who participate in issues of securities. If you are either of them, this guideline will help you to determine if you have obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (AML/CFT Act).
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    PDF

  11. 1 December 2012

    Commerce Commission v Forsyth Barr - Settlement Agreement

    Settlement Agreement with the Commerce Commission by Forsyth Bar Limited; Forsyth Barr Group Limited; Credit Agricole Corporate and Investment Bank; Credit Sall Limited; Calyone Hong Kong Limited. December 2012.
    Tags
    Settlement, Enforcement
    Type
    PDF

  12. 9 November 2012

    Stakeholder survey – Final report 2012

    The FMA conducts an annual survey to establish how our stakeholders rate our performance. This is the 2012 report.
    Tags
    Reports and Papers, FMA, News & Insights
    Type
    PDF, Research

  13. 19 October 2012

    Superannuation Schemes Report 2012

    This report was issued by the Government Actuary and presented to the House of Representatives in 2012 pursuant to
    Section 194 of the KiwiSaver Act 2006.
    Tags
    Reports and Papers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF, Report