Document Library

Found 1598 results. Displaying page 62 of 107

1. 23 May 2018

   Consultation Same Class Offers ASX NZX Exemption Notice 2018

   This consultation paper is for those who issue and offer listed financial products, investors, legal advisers, and other interested parties. It seeks feedback on a proposed exemption for same class offers of ASX/NZX-quoted financial products.

2. 22 May 2018

   2018/2019 Annual letter of Expectations

   2018 Annual letter of expectations issued by the Minister to the FMA.

3. 16 May 2018

   Conflicted remuneration (soft commissions) in the life and health insurance industry

   This review examines the soft commission structures in place for life and health insurance products and how advisers respond to these incentives. This work forms part of a range of regulatory activities examining conflicted conduct in the insurance sector.

4. 15 May 2018

   Consultation Improving financial information in an equity PDS response to submissions

   This document summarises the key matters and changes we’ve made to our Guidance Note: Improving financial information in an equity PDS following consultation.

5. 15 May 2018

   Improving financial information in an Equity PDS - guidance

   This guidance is to assist issuers and their professional advisers in understanding the FMA’s expectations on certain aspects of the financial information section.

6. 14 May 2018

   Exemption notice - Financial Advisers Personalised Digital Advice Notice 2018

   Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice 2018.

7. 3 May 2018

   Exemption notice - Financial Markets Conduct Capital Mortgage Income Trust Group Investment Fund

   Financial Markets Conduct (Capital Mortgage Income Trust Group Investment Fund) Exemption Notice 2018

8. 1 May 2018

   AML/CFT Risk Assessment Guideline

   This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).

9. 1 May 2018

   AML/CFT Risk Assessment Guideline

   This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).

10. 1 May 2018

    Investor Confidence Report 2018

    The FMA commissioned Buzz Channel to measure New Zealanders’ attitudes towards and confidence in New Zealand’s financial markets. This is the 2019 survey report.

11. 30 April 2018

    NZX Main Board/Debt Market and NZAX Listing Rules - Approval of Markets Rules Notice

    NZX main board/debt market and NZAX listing rules notice.

12. 20 April 2018

    Sansom trial costs - OIA response

    OIA response, dated 20 April 2018, with regards to the Sansom trial costs

13. 18 April 2018

    General stocktake of fund updates

    A general stocktake (or review) of fund updates to discover if there were any common themes or issues.

14. 17 April 2018

    Consultation paper Proposed exemption to enable dual language PDS

    This consultation paper is for issuers of financial products and seeks feedback on the exemption proposal to enable issuers to provide dual-language PDSs.

15. 17 April 2018

    Proposed exemption Enable dual language PDS feedback form

    Feedback form: proposed exemption to enable dual language PDS