Document Library

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

Keywords

Date Published

Sort by:

Found 1679 results. Displaying page 63 of 112

5 June 2019

Kiwi Wealth Limited Amendment Notice 2019

KiwiSaver Default Provider (Kiwi Wealth) Notice - fee can be changed by a default provider by introducing a maximum amount
24 May 2019

Exemption notice - Clearwater Golf Club Limited

Financial Markets Conduct (Clearwater Golf Club Limited) Exemption Notice 2019
23 May 2019

Application Form - Supervisors Licence TRU1.1 variation

APPLICATION FORM FOR FINANCIAL MARKETS SUPERVISORS LICENCE VARIATION
14 May 2019

5 Most Expensive Trials - OIA response

OIA response, dated 14 May 2019, regarding the FMA’s five most expensive trials, what they involved and a summary of costs
1 May 2019

Financial reporting reviews 2019

This statement outlines our approach to financial reporting reviews, and highlights selected areas of interest for 2019/20 reviews.
1 May 2019

Morgan De Vere Corporate Finance Limited - Court decision

District Court decision in the case against Morgan De Vere Corporate Finance Limited, 1 May 2019.
24 April 2019

Exemption Notice - Financial Markets Conduct Goldman Sachs

Financial Markets Conduct Exemption Notice 2019: Goldman Sachs.
16 April 2019

Exemption Notice - RIS Group Limited

Financial Markets Conduct Exemption Notice 2019: RIS Group Limited.
15 April 2019

2019 Annual Letter of expectations

Annual letter of expectations from the Minister April 2019
12 April 2019

ANZ Bank New Zealand Limited - Supreme Court Judgment

Supreme Court Judgment in the case against ANZ Bank New Zealand Limited, 12 April 2019.
9 April 2019

Mark Talbot - Enforceable Undertaking

Mr Talbot has offered this enforceable undertaking following an investigation made by the FMA into his trading of shares in VMob Group Limited (VMob). 3 April 2019.
9 April 2019

Mark Stephen Talbot - Sentencing Notes

High Court Sentencing remarks in the case against Mark Stephen Talbot, 9 April 2019.
5 April 2019

Exemption Notice - OnePath Custodians Pty Limited

Financial Markets Conduct Exemption Notice 2019: OnePath Custodians Pty Limited.
4 April 2019

Financial Markets Conduct - NZX Listing Rules Approval of Rule Change Notice

This notice allows NZX to replace the NZX Issuer Rules, dated 1 January 2016, with the corresponding amended rules with effect from 1 January 2020 or as otherwise determined by NZX in accordance with the Participant Rule 1.4.1
3 April 2019

Exemption Notice - Financial Markets Conduct Harbour Investment Funds

Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019