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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 102 of 108

  3. 12 July 2013

    consultation paper charitable and religious purposes exemption review

    In this paper we seek submissions on proposals relating to the review the Financial Markets Authority (FMA) is undertaking on the Securities Act (Charitable and Religious Purposes) Exemption Notice 2003 (SR 2003/66) (the CRP Notice), which is due to expire on 30 November 2013.
    FMA is reviewing the CRP Notice simultaneously with the Reserve Bank of New Zealand’s review of the appropriate treatment of charitable and religious organisations under the Non-bank Deposit Takers regime.
    Tags
    Consultations, Supervisor, Roles, Business
    Type
    PDF

  5. 1 July 2013

    FMA progress review stakeholder feedback report 2013

    This report is the result of a review conducted by Oliver Wyman focusing on stakeholder perspectives on achievements, short-comings and future priorities for New Zealand’s Financial Markets Authority. The report was published in July 2013
    Tags
    Reports and Papers, FMA, News & Insights
    Type
    PDF, Report

  6. 29 June 2013

    NZX Obligations Review 2013

    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 2013.
    Tags
    Market operator, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  7. 13 June 2013

    Investigations and Enforcement Report 2013

    This report highlights the key issues and themes that have emerged through FMA’s investigations and enforcement activities from July 2012 to June 2013.
    Tags
    Reports and Papers, Monitoring, Business, News & Insights, Enforcement
    Type
    PDF

  9. 1 June 2013

    Auditor regulation and oversight plan 2013 2016

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways
    we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2013-2016 period
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  10. 1 June 2013

    Securities trustees and statutory supervisors monitoring guidance

    This guidance note is for licensed securities trustees and statutory supervisors. It sets out the Financial Market Authority’s (FMA) expectations of how they will carry out their monitoring functions effectively.
    Tags
    Reporting entities, Roles, Business, Supervisor
    Type
    PDF, Guidance

  11. 1 June 2013

    Monitoring of KiwiSaver Offer Documents

    This 2013 report outlines to issuers, their directors and advisers, our views and observations on current market practices. In FMA’s view the principles outlined in this report are relevant to managed funds in general and not just KiwiSaver schemes.
    Tags
    Reports and Papers, Roles, Business, FMA, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF

  12. 1 June 2013

    AML/CFT annual monitoring report 2013

    This document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).
    Tags
    AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF

  14. 1 May 2013

    Hybrid financial instrument disclosures report 2013

    FMA reviewed the accounting classification and disclosure of financial instruments classified as hybrid instruments listed on the NZX debt market, as at 1 December 2012.
    This report outlines our findings and recommendations.
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF, Financial reporting

  15. 18 March 2013

    2013 Annual letter of expectations

    Annual letter of expectation 2013 written by the Minister to the FMA.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF