Document Library

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

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Found 1629 results. Displaying page 73 of 109

7 September 2017

Anthony Wilson - sentencing notes redacted

District Court at Auckland sentencing notes in the case against Anthony Norman Wilson, 12 July 2017.
1 September 2017

Disclosing non gaap financial information guidance

This guidance replaces our 2012 Guidance note: Disclosing non-GAAP financial information to reflect the requirements of the Financial Markets Conduct Act 2013 (FMC Act) and our findings from the review of non-GAAP financial information since 2012.
28 August 2017

Prince and Partners Trustee Company Ltd - Settlement Agreement

Settlement Agreement with Prince & Partners Trustee Company Limited, 25 August 2017.
28 August 2017

Prince Partners - Judgment

High Court Judgment in the case against Prince and Partners Trustee Company Limited, 25 August 2017.
10 August 2017

Financial Markets Conduct Act - NZMDT Rules Approval of Market Rules Notice 2017

FMC Act New Zealand Disciplinary tribunal rules notice of change 2017.
4 August 2017

Consultation Paper Market Index

This consultation is for MIS managers, advisers, supervisors, and investors. It seeks feedback on a proposed exemption from the market index requirement.
1 August 2017

FMA Annual Corporate Plan 2018

This Annual Corporate Plan sets out our activities for the period that will promote our strategic priorities, address regulatory risks and harms, and deliver sector outcomes.
30 July 2017

Expense disclosure CE Hospitality January June 2017

CE expenses disclosure for the period 1 January 2017 - 30 June 2017
30 July 2017

Expense disclosure CE January June 2017

CE expenses disclosure for the period 1 January 2017 - 30 June 2017
28 July 2017

Expense disclosure CE Gifts January June 2017

CE expenses disclosure for the period 1 January 2017 - 30 June 2017
28 July 2017

Expense disclosure CE Travel January June 2017

CE expenses disclosure for the period 1 January 2017 - 30 June 2017
28 July 2017

Financial Markets Conduct (KiwiSaver Confirmation Information) Methodology Notice 2017

This notice is the Financial Markets Conduct (KiwiSaver Confirmation Information) Methodology Notice 2017.
25 July 2017

Offering financial products in New Zealand and Australia under mutual recognition (MRSO) regulatory guide

This is a guide for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries. It explains what issuers have to do under the trans-Tasman mutual recognition scheme for offers of financial products. This is a joint guide published by the Australian Securities and Investments Commission.
19 July 2017

KiwiSaver Confirmation Information Methodology Notice 2017

Financial markets Conduct Methodology Notice 2017: KiwiSaver Confirmation Information
18 July 2017

Regulatory impact statement – Methodology for calculating fees in KiwiSaver annual statements 2017

Regulatory impact statement – Methodology for calculating fees in KiwiSaver annual statements. This document is for KiwiSaver providers.