Document Library

Found 1629 results. Displaying page 77 of 109

1. 2 February 2017

   Submissions Report Conduct Guide consultation

   This is a summary of the submissions received by the FMA in response to the consultation of draft guide to the FMA's view of conduct, 2017.

2. 2 February 2017

   FMAs view of conduct guidance

   This guidance note is for: directors and executives of licensed financial services providers. The guide was published in 2017.

3. 30 January 2017

   Expense disclosure CE Gifts July December 2016

   CE gifts and hospitality disclosure for the period 1 June 2016 - 31 December 2016

4. 30 January 2017

   Expense disclosure CE Other July December 2016

   CE expenses disclosure for the period 1 July 2016 - 31 December 2016

5. 30 January 2017

   Expense disclosure CE Travel July December 2016

   CE expenses disclosure for the period 1 July 2016 - 31 December 2016

6. 25 January 2017

   Regulatory Impact Statement – Forestry schemes 2017

   This document is for managers, supervisors, custodians and investors in forestry schemes. It discusses exemptions granted to forestry schemes.

7. 25 January 2017

   Regulatory Impact Statement – Property schemes 2017

   This document is for: managers, supervisors, custodians and investors in property schemes. It discusses exemptions granted to property schemes.

8. 16 January 2017

   Consultation paper Requirement for managers of multiple participant schemes to register participation agreements 1

   The consultation seeks feedback on our proposal to exempt managers of multiple participant schemes from the requirement to register participation agreements entered into with the various employers they service.

9. 13 January 2017

   Exemption Notice - JP Morgan Global Growth Income plc and JPMorgan Japanese Investment Trust plc

   Financial Markets Conduct (JP Morgan Global Growth & Income plc and JP Morgan Japanese Investment Trust plc) Exemption Notice 2016

10. 23 December 2016

    31 December 2016 Disclose Register Kiwisaver fund updates

    This document is the Disclose Register for KiwiSaver fund updates for 31 December 2016

11. 22 December 2016

    How the FMC Act will affect co operative companies and industrial and provident societies that have issued or intend to issue co operative shares guidance

    This information sheet outlines the options for co-operative companies and industrial and provident societies (IPSs) (collectively referred to as co-operatives) offering and managing co-operative shares.

12. 21 December 2016

    FMA Briefing to Incoming Minister 2016

    FMA Briefing to Incoming Minister 2016

13. 13 December 2016

    ASX 24 review 2016

    Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives market) in New Zealand. We are required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations. This review period covers 1 July 2014 to 30 June 2016. This is our first review of ASX 24 since its licence came into effect on 1 December 2014.

14. 12 December 2016

    CPA accredited body report 2016

    The Auditor Regulation Act 2011 (the Act) requires us to monitor and ensure the audit regulatory systems and processes used by accredited bodies are adequate and effective. This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2015 to 30 June 2016.

15. 12 December 2016

    NZICA accredited body report 2016

    The Auditor Regulation Act 2011 (the Act) requires us to monitor and ensure the audit regulatory systems and processes used by accredited bodies are adequate and effective. This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2015 to 30 June 2016.