Document Library

Found 1624 results. Displaying page 11 of 109

1. 5 October 2023

   Lessons learned from the Barry Kloogh Ponzi scheme

   This report covers the FMA's enquiries into the regulator settings and practices of financial services used by Barry Kloogh to commit fraud.

2. 4 October 2023

   Consultation on green bonds and other responsible investment products

   This consultation seeks issuer and investor input on green bonds and other responsible investment products that expressly take into account environmental, social, and/or governance considerations.

3. 4 October 2023

   CRD record keeping summary of key themes

   Climate related disclosure record keeping summary of key themes.

4. 4 October 2023

   Guidance for keeping proper climate related disclosure records

   This guidance note is for entities that have climate-related disclosure obligations under Part 7A of the Financial Markets Conduct Act 2013. It is intended to help climate reporting entities (CREs) meet their statutory requirement to keep proper climate-related disclosure records at all times.

5. 30 September 2023

   Consultation paper proposed guidance on scheme wind ups

   FMA is considering guidance for Supervisors and (where there is no Supervisor) Managers of registered schemes on the requirements in section 212 (Initial steps in winding up of registered scheme) and section 213 (Winding-up report) of the Financial Markets Conduct Act 2013 (FMC Act).

6. 30 September 2023

   Feedback form FMA scheme winding up guidance

   Consultation feedback form: FMA scheme winding up guidance.

7. 29 September 2023

   Consultation paper Proposed liquidity risk management guidance

   Consultation: Proposed liquidity risk management guidance.

8. 29 September 2023

   Feedback form Liquidity risk management

   Feedback form of Liquidity risk management draft guidance.

9. 28 September 2023

   Catalist market operator obligations review 2023

   Findings from the FMA’s review of how well Catalist is meeting its licensed market operator obligations, for the period 1 April 2022 to 31 March 2023.

10. 27 September 2023

    Financial Reporting Council - MOURA

    Financial Reporting Council Memorandum of Understanding of reciprocal arrangements (MOURA)

11. 26 September 2023

    NZX Listing Rules Amendment Notice NZX Capital Raising settings amendments

    NZX Listing Rules Amendment Notice NZX Capital Raising settings amendments

12. 25 September 2023

    Rowan Charles Kearns Judgment

    Rowan Kearns Judgment.

13. 20 September 2023

    KiwiSaver Annual Report 2023

    The KiwiSaver Annual Report 2023 summarises our activities as a regulator relating to KiwiSaver during the reporting previous financial year.

14. 19 September 2023

    Craigs Investment Partners Self Select Schemes levy waiver notification 2023

    Craig's Investment Partners Self Select Schemes levy waiver issued by the FMA.

15. 18 September 2023

    Supporting customers in financial difficulty FMA and Commerce Commission joint message September 2023

    Supporting customers in financial difficulty – FMA and Commerce Commission joint message September 2023