Document Library

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

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Found 1677 results. Displaying page 79 of 112

4 May 2017

Consultation proposed guidance Substantial product holder disclosures

This consultation is for: Fund management firms and their employees; anyone who has, or may have, a substantial holding in a listed issuer, and other interested parties.
28 April 2017

Exemption notice - Berkshire Hathaway Specialty Insurance Company

Financial markets Conduct Exemption Notice 2017: Berkshire Hathaway Specialty Insurance Company.
28 April 2017

Exemption Notice - Plus500 AU Pty Ltd 2017

Financial Markets Conduct Exemption Notice 2017: Plus500AU Pty Ltd.
14 April 2017

Exemption Notice - Gordian RunOff Limited

Financial Markets Conduct Exemption Notice 2017: Gordian RunOff Limited.
11 April 2017

Consultation paper Improving financial information in an equity PDS

This consultation is for issuers, their advisors, investors and other interested parties. It aims to seek feedback on our proposed guidance and interpretations of the regulations.
7 April 2017

Exemption Notice - The City of London Investment Trust plc

Financial Markets Conduct Exemption Notice 2017 - The City of London Investment Trust plc.
7 April 2017

Exemption Notice - Stride Property Group

Financial Markets Conduct (Stride Property Group) Exemption Notice 2017
3 April 2017

Consultation paper Short duration derivatives

This consultation is for: interested parties including offerors, investors and legal advisers. It aims to: gain feedback on the impact of a class designation for short duration derivatives.
31 March 2017

31 March 2017 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 March 2017
28 March 2017

European Securities and Markets Authority (ESMA) - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the European Securities and Markets Authority (ESMA)
16 March 2017

Exemption notice - Financial Markets Conduct Deutsche Bank AG

Financial Markets Conduct (Deutsche Bank AG) Exemption Notice 2017
10 March 2017

Exemption Notice - Financial Markets Conduct JP Morgan Chase Bank N.A.

Financial Markets Conduct (JP Morgan Chase Bank N.A.) Exemption Notice 2017
9 March 2017

Submissions Report KiwiSaver guidance note

This submissions report is in response to submissions on the draft KiwiSaver advice guidance note consultation, 2017.
9 March 2017

KiwiSaver sales and advice guidance

This guidance note is for advisers and financial firms advising on KiwiSaver products.
6 March 2017

Consultation paper Disclosing non GAAP financial information

This guidance note is primarily for FMC reporting entities and their directors. It aims to outline the FMA's expectations on the use of non-GAAP financial information.