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Document Library

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

Found 1611 results. Displaying page 39 of 108

  3. 12 November 2020

    Audit Quality Director's Guide 2020

    The Audit Quality Directors Guide 2020 handbook is aimed at directors of FMCreporting entities. It sets out how you, as a director, can contribute to the quality of your audit, as well as what you can expect from the FMA and your auditor.
    Tags
    Directors, Roles, Auditors, Business
    Type
    PDF, Information Sheet

  4. 12 November 2020

    Cases Investigated - OIA request

    OIA response, dated 12 November 2020, questions asked around the policies, documents, communications and number of cases / prosecutions the FMA has assessed between 1 July 2017 - 12 November 2020
    Tags
    FMA
    Type
    PDF, OIA

  5. 5 November 2020

    FAP standard conditions full licence RIS

    This Regulatory Impact Statement (RIS) discusses standard conditions for financial advice provider (FAP) licences, to be
    imposed by the FMA.
    Tags
    RIS, Financial Advice Provider, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  8. 30 October 2020

    Consultation KiwiSaver Fees and Value for Money

    This consultation seeks input from KiwiSaver managers, KiwiSaver supervisors, other MIS managers, and other
    interested parties, on the regulatory approach to the statutory requirement that KiwiSaver fees must not be unreasonable and the related overarching statutory duties.
    Tags
    KiwiSaver providers, Consultations, Managed investment schemes, Roles, Business
    Type
    PDF

  11. 22 October 2020

    Consultation paper Recognition of Australian Adviser Qualifications

    Consultation: This guidance note is for any person who gives regulated financial advice, and their advisers and interested parties. It seeks feedback on proposed recognition of
    certain Australian adviser qualifications.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Consultations, Roles, Business
    Type
    PDF

  12. 22 October 2020

    16th Annual Financial Markets Law Conference

    Liam Mason, director of regulation for the Financial Markets Authority, gave an address to the 16th Annual Financial Markets Law Conference in October, 2020.
    Tags
    Speeches and presentations , News & Insights
    Type
    PPT

  13. 15 October 2020

    AML warnings - OIA request

    OIA response, dated 15 October 2020, looking at the total number of non-public formal warnings issued until June 2020 and he calendar or reporting years in which these were issued
    Tags
    FMA
    Type
    PDF, OIA

  14. 1 October 2020

    COVID-19: Timetable of deferred Regulatory initiatives

    The table provides a list of the regulatory initiatives that are being deferred during the Covid-19 Alert Levels in August and September 2021. These deferrals will enable banks and other financial services firms to focus their efforts more effectively on continuing to operate smoothly and providing credit and other support to individuals and businesses.
    Tags
    COVID-19, News & Insights
    Type
    PDF, Notice