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Found 1629 results. Displaying page 37 of 109

1. 16 December 2021

   Customer care managing conflicts of interest self assessment tool

2. 15 December 2021

   Fonterra Shareholders' Market Listing Rules - Approval of Change Notice 2021

   The amendments to the FSM Listing Rules are generally consequential on external factors relating to Fonterra, and include the following: FSM Listing Rule 1.8.2, Rules 1.8.2(c), 1.8.4(a) and 6.1.2(a)(ix) and (x) and the Glossary, and, FSM Listing Rule 6.1.2 are amended

3. 13 December 2021

   Financial Services Complaints Limited - MOU

   MOU concerning consultation, cooperation and the exchange of information between the FMA and the Financial Services Complaints Limited

4. 13 December 2021

   Insurance and Financial Services Ombudsman Scheme - MOU

   MOU concerning consultation, cooperation and the exchange of information between the FMA and the Financial Services Ombudsman Scheme

5. 13 December 2021

   Squirrel P2P Trustee Limited - Public Warning

   Public warning issued under Section 9 of the Financial Markets Authority Act 2011 regarding Squirrel P2P Trustee Limited, FSP 415167. 13 December 2021.

6. 10 December 2021

   FMA Annual Report 2021 - preview

   Preview of the FMA Annual Report 2021.

7. 10 December 2021

   Outsourcing CDD to a third party provider Reminder to FMA and DIA reporting entities

   While third-party providers can provide a useful service, both the DIA and FMA are aware of an increasing number of reporting entities taking a view that the third-party provider “just takes care of it all” and that all CDD requirements are then met. This is not the case. Read more about outsourcing your CDD requirments.

8. 6 December 2021

   AML/CFT Sector Risk Assessment 2021

   Our Sector Risk Assessment (SRA) helps us and the Reporting Entities we supervise understand the risks of money-laundering (ML) and terrorism financing (TF) in each sector. This SRA replaces our SRA published in 2017.

9. 1 December 2021

   Accredited Body Report – New Zealand Institute of Chartered Accountants 2021

   Findings from the FMA’s review of the adequacy and effectiveness of NZICA’s audit regulatory systems for the period 1 July 2020 to 30 June 2021

10. 1 December 2021

    Accredited Body Report - CPA Australia 2021

    Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2020 to 30 June 2021

11. 30 November 2021

    CE Expense Disclosure Hospitality Rob Everett 1 Jul to 31 Oct 21

    CE Expense Disclosure Hospitality Rob Everett 1 Jul to 31 Oct 21

12. 30 November 2021

    CE Expense Disclosure Summary Rob Everett 1 Jul to 31 Oct 21

    CE Expense Disclosure Summary Rob Everett 1 Jul to 31 Oct 21

13. 30 November 2021

    CE Expense Disclosure Other Rob Everett 1 Jul to 31 Oct 21

    CE Expense Disclosure Other Rob Everett 1 Jul to 31 Oct 21

14. 30 November 2021

    CE Expense Disclosure Travel Rob Everett 1 Jul to 31 Oct 21

    CE Expense Disclosure Travel Rob Everett 1 Jul to 31 Oct 21

15. 14 November 2021

    Consumer IPO information and guide

    This investor guide tells you what you need to know before investing in a new share offer