Document Library

Found 1686 results. Displaying page 67 of 113

1. 3 May 2018

   Exemption notice - Financial Markets Conduct Capital Mortgage Income Trust Group Investment Fund

   Financial Markets Conduct (Capital Mortgage Income Trust Group Investment Fund) Exemption Notice 2018

2. 1 May 2018

   AML/CFT Risk Assessment Guideline

   This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).

3. 1 May 2018

   AML/CFT Risk Assessment Guideline

   This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).

4. 1 May 2018

   Investor Confidence Report 2018

   The FMA commissioned Buzz Channel to measure New Zealanders’ attitudes towards and confidence in New Zealand’s financial markets. This is the 2019 survey report.

5. 30 April 2018

   NZX Main Board/Debt Market and NZAX Listing Rules - Approval of Markets Rules Notice

   NZX main board/debt market and NZAX listing rules notice.

6. 20 April 2018

   Sansom trial costs - OIA response

   OIA response, dated 20 April 2018, with regards to the Sansom trial costs

7. 18 April 2018

   General stocktake of fund updates

   A general stocktake (or review) of fund updates to discover if there were any common themes or issues.

8. 17 April 2018

   Consultation paper Proposed exemption to enable dual language PDS

   This consultation paper is for issuers of financial products and seeks feedback on the exemption proposal to enable issuers to provide dual-language PDSs.

9. 17 April 2018

   Proposed exemption Enable dual language PDS feedback form

   Feedback form: proposed exemption to enable dual language PDS

10. 16 April 2018

    Consultation paper annual declaration and change to standard condition

    This consultation is for all market service licensees and seeks to gain feedback on our proposals for an annual declaration of compliance from licensees as part of regulatory returns, and changes to the standard regulatory returns condition.

11. 10 April 2018

    Product disclosure statements: understanding investors’ information needs

    The purpose of this report is to help issuers and their advisers think about how they can make disclosure information more useful for investors. In the report we summarise feedback from investors about how they use disclosure information.

12. 5 April 2018

    Exemption Notice - Financial Markets Conduct Mercer Super Trust

    Financial Markets Conduct (Mercer Super Trust) Exemption Notice 2018

13. 31 March 2018

    31 March 2018 Disclose Register KiwiSaver fund updates

    This document is the Disclose Register for KiwiSaver fund updates for 31 March 2018

14. 31 March 2018

    31 March 2018 Disclose Register MIS fund updates

    This document is the Disclose Register for MIS fund updates for 31 March 2018

15. 22 March 2018

    Update on the FMA’s ongoing review of insurance replacement business and conflicted conduct

    This report follows on from our 2016 report, Replacing life insurance – who benefits? into replacement business activity within the adviser sales channel of the New Zealand life insurance market. It details our findings, the results of our inquiries to date and our expectations for advisers when they are providing advice on replacing insurance policies.