Document Library

Found 1608 results. Displaying page 21 of 108

1. 29 September 2022

   Catalist market operator obligations review 2022

   This report covers the first market obligations review for Catalist, and covers the period from 21 June 2021, the licence commencement date, to 31 March 2022, the end of Catalist’s first reporting period.

   Tags

   Market operator, Reports and Papers, Roles, Business, News & Insights

   Type

   PDF

2. 29 September 2022

   FMA Investor checklist

   World Investor Week investing plan checklist.

   Tags

   Consumer

   Type

   PDF

3. 27 September 2022

   Securities Industry Association submission

   Consultation submission from Securities Industry Association, 1 Aug 2013: Practical implications of factsheet on Managing Intermediaries feedback

   Tags

   Consultations, Business

   Type

   PDF, Submission form

4. 27 September 2022

   Consultation paper Client money or property service provider guidance

   Consultation on proposed guidance on the obligations for client money or property service providers.

   Tags

   Client money or property services provider, Consultations, Roles, Business

   Type

   PDF

5. 27 September 2022

   Feedback form Client money and property service guidance

   Feedback form for consultation client money and property services guidance.

   Tags

   Client money or property services provider, Consultations, Roles, Business

   Type

   Word document, Feedback form

6. 21 September 2022

   WIW 2022 Social tiles

   World Investor Week 2022 social tiles for sharing purposes.

   Tags

   Consumer

   Type

7. 21 September 2022

   WIW2022 Website banners

   World Investor Week 2022 promotion materials. This zip file includes website banners

   Tags

   Campaigns, Investing, Consumer

   Type

8. 15 September 2022

   WIW2022 Logos

   World Investor Week 2022 promotion materials. This zip file includes logos

   Tags

   Campaigns, Investing, Consumer

   Type

9. 11 September 2022

   KiwiSaver Statements Report 0722

   The KiwiSaver Statements research report commissioned by the FMA July 2022

   Tags

   KiwiSaver providers, Supervisor, KiwiSaver & Superannuation, Reports and Papers, Managed investment schemes, Roles, Business, Consumer, News & Insights

   Type

   PDF

10. 9 September 2022

    Feedback form regulatory returns for licensed Class 3 financial advice providers

    Feedback form for public consultation on the proposed regulatory returns that licensed Class 3 financial advice providers will be required to provide to the FMA

    Tags

    Financial Advice Provider, New Financial Advice regime, Roles, Business

    Type

    Word document, Feedback form, Consultation

11. 9 September 2022

    Consultation paper on proposed Regulatory returns for licensed Class 3 financial advice providers

    Public consultation on the proposed regulatory returns that licensed Class 3 financial advice providers will be required to provide to the FMA

    Tags

    Financial Advice Provider, New Financial Advice regime, Roles, Business

    Type

    PDF, Consultation

12. 9 September 2022

    Proposed annual regulatory return information to be provided by licensed CLASS 3 FAPs to the FMA (questions)

    Proposed annual regulatory return information to be provided by licensed CLASS 3 Financial advice providers (FAPs) to the FMA
    
    

    Tags

    Financial Advice Provider, New Financial Advice regime, Roles, Business

    Type

    Word document, Consultation

13. 9 September 2022

    Financial Markets Conduct NZX NZ Markets Disciplinary Rules Approval of Rule Change Notice 2022

    This notice is the Financial Markets Conduct (NZX NZ Markets Disciplinary Tribunal Rules) Approval of Rule Change Notice 2022.

    Tags

    Market operator, Roles, Business

    Type

    PDF, Notice

14. 31 August 2022

    Wisdom House and Yuen Pok (Paul) Loo - Stop Order

    The permanent stop order that applies to Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo, after they engaged in misleading and dishonest conduct, that the FMA ordered on 31 August 2022.

    Tags

    Enforceable action, Enforcement

    Type

    PDF

15. 29 August 2022

    Kalkine New Zealand Limited - Direction Order

    FMA directs Kalkine New Zealand Limited to stop making outgoing sales calls to people in New Zealand following concerns about the entity’s misleading marketing conduct. 10 August 2022.

    Tags

    Financial Adviser, Investigations, Roles, Business, Consumer, Enforcement

    Type

    PDF