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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 63 of 108

  2. 24 May 2018

    New Zealand Equity Market Cleanliness for the years 2010-2016

    This report assesses the cleanliness of New Zealand equity markets. The assessment is based on the prevalence of abnormal price movements ahead of material price sensitive announcements -measured by the market cleanliness statistic (MCS). The report assessed the New Zealand market cleanliness for the years 2010-2016 and found that the MCS appears to be fluctuating and does not display a clear increasing or decreasing trend.
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF

  3. 23 May 2018

    Consultation Same Class Offers ASX NZX Exemption Notice 2018

    This consultation paper is for those who issue and offer listed financial products, investors, legal advisers, and other
    interested parties. It seeks feedback on a proposed exemption for same class offers of ASX/NZX-quoted financial
    products.
    Tags
    Market operator, Consultations, Roles, Business
    Type
    PDF

  4. 22 May 2018

    2018/2019 Annual letter of Expectations

    2018 Annual letter of expectations issued by the Minister to the FMA.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  5. 16 May 2018

    Conflicted remuneration (soft commissions) in the life and health insurance industry

    This review examines the soft commission structures in place for life and health insurance products and how advisers respond to these incentives. This work forms part of a range of regulatory activities examining conflicted conduct in the insurance sector.
    Tags
    Financial Advice Provider, Conduct, Roles, Business
    Type
    PDF, Report

  7. 15 May 2018

    Improving financial information in an Equity PDS - guidance

    This guidance is to assist issuers and their professional advisers in understanding the FMA’s expectations on certain aspects of the financial information section.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Guidance

  10. 1 May 2018

    AML/CFT Risk Assessment Guideline

    This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF

  11. 1 May 2018

    AML/CFT Risk Assessment Guideline

    This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Guidance

  12. 1 May 2018

    Investor Confidence Report 2018

    The FMA commissioned Buzz Channel to measure New Zealanders’ attitudes towards and confidence in New
    Zealand’s financial markets. This is the 2019 survey report.
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF, Surveys

  15. 18 April 2018

    General stocktake of fund updates

    A general stocktake (or review) of fund updates to discover if there were any common themes or issues.
    Tags
    Reports and Papers, News & Insights
    Type
    PDF