Document Library

Found 1643 results. Displaying page 93 of 110

1. 24 February 2015

   Certification process - new KiwiSaver, superannuation and workplace savings schemes

   The FMA certification process for the registration of new KiwiSaver, superannuation and workplace savings schemes

2. 24 February 2015

   Custodians of managed investment schemes information sheet

   This information sheet outlines the duties and responsibilities under the Financial Markets Conduct Act 2013 (FMC Act) for custodians of registered managed investment schemes.

3. 24 February 2015

   Reporting SIPO limit breaks Information sheet

   This information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).

4. 24 February 2015

   Exemption notice - Securities Act Augusta Funds Management Limited Southgate Proportionate Ownership Scheme

   Securities Act Augusta Funds Management Limited Southgate Proportionate Ownership Scheme Exemption Notice 2015

5. 20 February 2015

   Mark - Joseph Schroeder and Justin William Prain - Reserved Judgment

   Reserved Judgment of the District Court of Christchurch in the case against Mark Joseph Schroeder and Justin William Prain.

6. 20 February 2015

   Going Public - a directors guide

   This guide is intended to help directors assess whether going public is the right choice for their company and provide an insight into the process of becoming a public company. It is not a comprehensive account of the legal obligations of directors during an initial public offering (IPO).

7. 16 February 2015

   Westpac - Settlement Agreement

   Settlement agreement with Westpac New Zealand Limited; Westpac Banking Corporation regarding interest rate swaps sales to certain rural customers, 16 February 2015.

8. 15 February 2015

   Sean Wood - Reserved Judgment

   Reserved Judgment in the case against Sean Wood.

9. 30 January 2015

   Expense disclosure CE Gifts 2014 Jul Dec

   CE gifts and hospitality disclosure for the period 1 July 2014 - 31 December 2014.

10. 30 January 2015

    Expense disclosure CE Hospitality 2014 Jul Dec

    CE expenses disclosure for the period 1 July 2014 - 31 December 2013

11. 30 January 2015

    Expense disclosure CE 2014 Jul Dec

    CE expenses disclosure for the period 1 July 2014 - 31 December 2014

12. 30 January 2015

    Expense disclosure CE Travel 2014 Jul Dec

    CE expenses disclosure for the period 1 July 2014 - 31 December 2014

13. 15 January 2015

    Institute of Directors - Directors guide

    This guide from the IoD outlines some of the essential behaviours directors should demonstrate to meet legal, regulatory and ethical standards, and tells you where you can go to find out more.

14. 13 January 2015

    2015 Letter from the Minister

    Annual letter from the Minister 2015.

15. 19 December 2014

    Consultation Personalised DIMS response to submissions

    The table in this paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”) released on 19 November 2014. Five written submissions were received. The FMA has considered all submissions and our response to the main issues is set out in the table below.