Document Library

Found 1612 results. Displaying page 84 of 108

1. 17 November 2015

   Exemption Notice - Financial Markets Conduct Coats Group plc Sale Facility

   Financial Markets Conduct (Coats Group plc Sale Facility) Exemption Notice 2015

2. 12 November 2015

   Presentation to Fund Managers Forum on Emerging Themes from Licensing

   Presentation to Fund Managers Forum on Emerging Themes from Licensing at the Fund Managers Forum, 12 November 2015

3. 10 November 2015

   ARA Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms Notice 2012 Consolidated 10 Nov 2015

   Minimum standards and conditions for licensed auditors and registered audit firms notice 2015.

4. 9 November 2015

   ARA Prescribed Minimum Standards and Conditions for Licensed Auditors and registered audit firms 2015

5. 6 November 2015

   Proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012

   The table in this paper summarises the submissions made on our consultation paper on proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012, released in September 2015.

6. 6 November 2015

   Exemption Notice - Financial Markets Conduct Act Garden BidCo Limited

   Financial Markets Conduct Act (Garden BidCo Limited) Exemption Notice 2015.

7. 5 November 2015

   Consultation paper charities debt securities exemption

   We are consulting on whether charities issuing debt securities should be subject to standard Financial Markets Conduct Act 2013 (FMC Act) obligations. The FMC Act requires organisations offering debt securities to disclose certain information and to have a licensed supervisor.

8. 1 November 2015

   Risk indicators and description of managed funds - guidance note

   This guidance is for managers and supervisors of managed funds. It gives guidance on how to calculate risk indicators, when to update a PDS, how to describe a fund’s volatility, and in certain cases how to name your fund.

9. 1 November 2015

   Guidance on risk indicators and description of managed funds - RIS

   This Regulatory Impact Statement (RIS) considers the FMA’s proposed guidance on risk indicators and description of managed funds.

10. 30 October 2015

    Exemption Notice - Financial Markets Conduct CBA Capital Australia Pty Limited

    Financial Markets Conduct (CBA Capital Australia Pty Limited) Exemption Notice 2015

11. 30 October 2015

    Exemption Notice - Financial Markets Conduct Goodman Fielder Pty Limited

    Financial Markets Conduct (Goodman Fielder Pty Limited) Exemption Notice 2015

12. 28 October 2015

    Consultation paper Draft guidance on disclosure of certain fees and returns by managed funds

    This consultation is for managers, supervisors, and their advisers. It aims to help the industry comply with FMC Regulations for their fund updates and PDSs.

13. 23 October 2015

    Exemption notice - Securities Act Augusta Funds Management Limited Shands Road Limited Partnership

    Financial Markets Conduct Exemption Notice 2015: Augusta Funds Management Limited - Shands Road Limited partnership.

14. 22 October 2015

    Custodians obligations information sheet

    This information sheet explains the difference between a broker and a custodian, custodians for wholesale and managed investment scheme (MIS) clients, and custodians’ statutory obligations. We also list examples of different custodial arrangements.

15. 14 October 2015

    Presentation by Liam Mason to INFINZ annual conference October 2015

    Liam Mason's presentation to INFINZ annual conference, Auckland, 14 October 2015