Document Library

Found 1613 results. Displaying page 34 of 108

1. 28 March 2022

   The One Management GP Limited and James Law Realty - Interim Stop Order

   FMA issued an interim stop order to The One Management GP Limited and James Law Realty regarding an offer in relation to The One in Longhorn Partnership Fund (‘the Fund’), which is only open to wholesale investors, including eligible investors. 28 March 2022

2. 25 March 2022

   Zhongyang (Sean) Meng and Jiashun (Sam) Qian - Judgment

   JUDGMENT: Zhongyang (Sean) Meng and Jiashun (Sam) Qian have been ordered to pay pecuniary penalties of $180,000 and $130,000 respectively for market manipulation and disclosure breaches involving Oceania Natural Limited (ONL) shares.

3. 23 March 2022

   Consultation paper Class exemptions for small co operatives and irrigation companies

4. 23 March 2022

   Feedback form Class exemptions for small co operatives and irrigation companies

5. 23 March 2022

   Conflicts of interest - OIA request

   OIA regarding conflicts of interest.

6. 22 March 2022

   Review of credit card repayment insurance products

   OIA request regarding Review of credit card repayment insurance products

7. 18 March 2022

   Impact of Russia Sanctions on AML/CFT reporting entities

   An update from the three AML/CFT Act supervisors to reporting entities on what is required of them under the Russia Sanctions Act 2022.

8. 17 March 2022

   Whistleblowing information - OIA request

   OIA request regarding whistleblowing information.

9. 15 March 2022

   Exemption Notice - Financial Markets Conduct JP Morgan Chase Bank N.A.

   This notice is the Financial Markets Conduct (JP Morgan Chase Bank N.A.) Exemption Notice 2022.

10. 8 March 2022

    Exemption Notice - IG Australia

    The Financial Markets Conduct (IG Australia Pty Limited) Exemption Notice 2022 provides relief to IG Australia Pty Limited (IG Australia) from certain financial reporting and audit obligations in the FMC Act and from certain assurance obligations and register entry requirements in the FMC Regulations.

11. 7 March 2022

    Simplicity NZ Ltd - Direction Order

    Direction order issued to Simplicity NZ Limited pursuant to section 414 of the FMC Act 2022 7 March 2022.

12. 2 March 2022

    Review of credit card repayment insurance - OIA request

    OIA request regarding Review of credit card repayment insurance products (CCRI Report)

13. 28 February 2022

    CE Expense Disclosure Hospitality Liam Mason 1 Nov 21 to 25 Jan 22

    CE Expense Disclosure Hospitality Liam Mason 1 Nov 21 to 25 Jan 22

14. 28 February 2022

    CE Expense Disclosure Other Liam Mason 1 Nov 21 to 25 Jan 22

    CE Expense Disclosure Other Liam Mason 1 Nov 21 to 25 Jan 22

15. 28 February 2022

    CE Expense Disclosure Summary Liam Mason 1 Nov 21 to 25 Jan 22

    CE Expense Disclosure Summary Liam Mason 1 Nov 21 to 25 Jan 22