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Found 203 results. Displaying page 9 of 14

1. 30 May 2024

   Financial Advice Provider Monitoring Insights

   Findings from the FMA’s supervision activities and monitoring of Class 1 and 2 licensed financial advice providers

2. 27 September 2022

   Securities Industry Association submission

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

3. 30 May 2015

   New requirements for lawyers offering contributory mortgages

   From 1 December 2016 all new offers of contributory mortgages must be made under the FMC Act.

4. 1 August 2016

   Authorised Financial Advisers in NZ — key findings 2016

   This report is a summary of industry trends from AFA information returns 1 July 2013 - 30 June 2015.

5. 1 August 2013

   Consultation response managing intermediaries Champman tripp 2013

   Response to consultation - Chapman Tripp, 1 Aug 2013: practical implications of reporting entities transacting with other reporting entities

6. 1 August 2013

   MinterEllisonRuddWatts Lawyers submission

   Feedback on consultation from Minter Ellison Rudd Watts, 1 Aug 2013: Practical implications of factsheet on Managing intermediaries feedback

7. 1 August 2013

   Trustee Corporations Association of New Zealand Inc submission

   Feedback to consultation from Trustee Corporations Association of New Zealand Inc, 1 Aug 2013:Factsheet on managing intermediaries feedback

8. 1 July 2020

   Macquarie Group Holdings New Zealand Limited submission

   Consultation feedback from Macquarie Group Holdings New Zealand Limited, 1 Aug 2013: Practical implications on factsheet on managing intermediaries feedback

9. 4 December 2018

   CPA Australia accredited body report 2018

   This report contains the outcome of our assessment of CPA Australia for the period 1 July 2017 to 30 June 2018.

10. 12 February 2020

    CPA Australia accredited body report 2020

    This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2019 to 30 June 2020.

11. 12 December 2019

    CPA accredited body report 2019

    This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2018 to 30 June 2019.

12. 12 December 2017

    CPA accredited body report 2017

    This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2016 to 30 June 2017.

13. 1 August 2019

    Identity Verification Code of Practice - OIA request

    OIA response, dated 1 August 2019, where we provided information about the Identity Verification Code of Practice, as well as the Explanatory Note

14. 31 January 2023

    Financial Markets Conduct - NZX Listing Rules Approval of Rule Change Notice 2023

    This notice is the Financial Markets Conduct (NZX Listing Rules) Approval of Rule Change Notice 1/2023. This notice comes into force on 31 January 2023. This notice approves amendments to the NZX Listing Rules. The amendments relate primarily to the NZX Corporate Governance Code (the Code), contained at Appendix 1 to the Listing Rules.

15. 10 December 2024

    Accredited body report - NZICA 2024

    Findings from the FMA’s review of the adequacy and effectiveness of NZICA’s audit regulatory systems for the period 1 July 2023 to 30 June 202