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Document Library

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

Found 1629 results. Displaying page 98 of 109

  2. 1 June 2014

    Investor Confidence Research 2014

    The Investor confidence Research report 2014 measures attitudes towards and investment in New Zealand’s financial markets. The research was carried out online using Colmar Brunton’s omnibus.

  3. 30 May 2014

    new governance and accountability framework for mis managers and their licensed supervisors 2014

    The FMC Act introduces an accountability framework for managed investment schemes (MIS). The requirements include a statutory duty of care on both managers and supervisors of managed investment schemes. Both must also act in the best interests of investors. Managers and supervisors need to have a clear understanding of their respective roles and understand they will be held to account for their actions.

  8. 1 April 2014

    FMA’s new role as regulator of conduct

    From 1 April 2014 FMA replaces the Commerce Commission as the primary regulator of conduct in relation to financial products and services. Find out what this means.

  9. 31 March 2014

    Commerce Commission - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Commerce Commission

  15. 1 February 2014

    Broker Obligations guidance note

    The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.