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Found 1593 results. Displaying page 64 of 107

1. 19 February 2018

   Conduct Outcomes Report 2017

   The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017. It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018.

2. 13 February 2018

   Fonterra Shareholders - Approval of Rule Change Notice 2018

   The notice approves changes to the FSM Rules that were provided to the FMA by NZX for approval on 22 Dec 2017. These changes will be incorporated into the FSM Rules at a future date to be determined by the NZX.

3. 9 February 2018

   Expense disclosure CE Other July to December 2017

   CE expenses disclosure for the period 1 July 2017 - 31 December 2017

4. 9 February 2018

   Exemption notice - Australian Qualified Financial Advisers

   Financial Advisers (Australian Qualified Advisers) Exemption Notice 2018.

5. 9 February 2018

   Exemption Notice - trueEX LLC

   Financial Markets Conduct Exemption Notice 2018 - trueEX LLC.

6. 7 February 2018

   Designation Amendment Notice MIPs

   Financial Markets Conduct (Shares in Investment Companies) Designation Amendment Notice 2018

7. 7 February 2018

   New Zealand Police - MOU

   MOU concerning consultation, cooperation and the exchange of information between the FMA and New Zealand Police

8. 1 February 2018

   Designation of certain shares in investment companies as managed investment products information sheet

   This information sheet explains the class notice which designates certain shares in investment companies as managed investment products, and the company which issues them as a managed investment scheme.

9. 31 January 2018

   AML/CFT Guide for small financial adviser businesses

   This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).

10. 31 January 2018

    Exemption Notice - The Bank of New York Mellon 2018

    Financial Markets Conduct Exemption Notice 2018 - The Bank of New York Mellon.

11. 30 January 2018

    Expense disclosure CE Gifts July to December 2017

    CE expenses disclosure for the period 1 July 2017 - 31 December 2017

12. 30 January 2018

    Expense disclosure CE Hospitality July to December 2017

    CE expenses disclosure for the period 1 July 2017 - 31 December 2017

13. 30 January 2018

    Expense disclosure CE Travel July to December 2017

    CE expenses disclosure for the period 1 July 2017 - 31 December 2017

14. 31 December 2017

    31 December 2017 Disclose Register KiwiSaver fund updates

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

15. 27 December 2017

    Identity Verification Code of Practice Explanatory Note

    The Amended Identity Verification Code of Practice 2013 (the code) clarified requirements for electronic identity verification following the implementation of the Electronic Identity Verification Act 2012 and the Identity Information Confirmation Act 2012. It replaced the previous Identity Verification Code of Practice 2011.