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Document Library

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

Found 1616 results. Displaying page 106 of 108

  1. 5 October 2011

    Superannuation schemes report 2011

    The FMA’s role is to actively engage with trustees of superannuation schemes to ensure that the trustees are complying with the Act. If a matter comes to our attention, we will enquire whether a superannuation scheme is operating in accordance with the Act, under our powers specified in Part 3 of the Financial Markets Authority Act 2011. This is the 2011 report.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF

  2. 1 October 2011

    KiwiSaver Report 2011

    The report details the principal matters transacted under the Act during the year ended 30 June 2011, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.
    Tags
    Monitoring, Reports and Papers, KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business, News & Insights
    Type
    PDF

  4. 1 August 2011

    Expense disclosure CE 2011

    CE travel expenses for the period 1 May 2011 - 30 June 2011
    Tags
    Executive expenses, FMA
    Type
    PDF

  6. 27 June 2011

    NZX Obligations Review 2011

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2011.
    Tags
    Market operator, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  7. 12 May 2011

    Carrington Securities LP - Judgment

    High Court Judgment in the case between Securities Commission (FMA)and Carrington Securities LP, 12 May 2011.
    Tags
    Court decision, Enforcement
    Type
    PDF

  8. 24 March 2011

    Bernard Whimp - Interim Stop Order

    The High Court, on application from the Securities Commission, has granted interim injunctions to stop shares being transferred to limited partnerships associated with Mr Bernard Whimp.
    Tags
    Type
    PDF

  11. 1 March 2011

    Good character and criminal convictions guidance note

    The guidance note is intended to answer some of the queries the Commission has received regarding the assessment of good character, as well as provide further guidance on the information applicants need to provide to the Commission in relation to criminal convictions.
    Tags
    Financial Adviser, Conduct, Roles, Business
    Type
    PDF, Guidance

  12. 1 March 2011

    AML/CFT Sector Risk Assessment 2011

    Our Sector Risk Assessment (SRA) helps us and the REs
    we supervise understand the risks of money-laundering
    (ML) and terrorism financing (TF) in each sector.
    Tags
    AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF

  14. 1 December 2010

    Superannuation schemes report 2010

    This report was issued by the Government Actuary and presented to the House of Representatives in 2010 pursuant to
    Section 194 of the KiwiSaver Act 2006.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF

  15. 1 July 2010

    Review of Corporate Governance Disclosure by Selected Issuers

    This 2010 report presents the findings of the Securities Commission’s review of corporate governance reporting. The purpose of this report is to inform governing bodies of our findings so that they can reflect critically on their governance practices and disclosures. In so doing, we aim to promote high standards of corporate governance by issuers and ultimately improve confidence in New Zealand’s capital markets. The report was published in 2010.
    Tags
    Governance, Reports and Papers, Derivative Issuer, Roles, Directors, Business, FMA, News & Insights
    Type
    PDF