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Found 203 results. Displaying page 2 of 14

1. 1 July 2016

   AML CFT How to complete your annual CFT user guide 1

   This user guide is designed to help financial advisers to complete their annual AML/CFT report (annual report) quickly and easily. It clarifies the questions in the report template that may be open to interpretation and identifies questions that are unlikely to be relevant to small financial adviser businesses. It does not include the questions that don’t need explanation. This guide is current for 2016.

2. 30 January 2022

   CE Expense Disclosure Gifts Rob Everett 1 Jul to 31 Oct 21

   CE Expense Disclosure Gifts Rob Everett 1 Jul to 31 Oct 21

3. 30 November 2021

   CE Expense Disclosure Hospitality Rob Everett 1 Jul to 31 Oct 21

   CE Expense Disclosure Hospitality Rob Everett 1 Jul to 31 Oct 21

4. 30 November 2021

   CE Expense Disclosure Summary Rob Everett 1 Jul to 31 Oct 21

   CE Expense Disclosure Summary Rob Everett 1 Jul to 31 Oct 21

5. 30 November 2021

   CE Expense Disclosure Other Rob Everett 1 Jul to 31 Oct 21

   CE Expense Disclosure Other Rob Everett 1 Jul to 31 Oct 21

6. 30 November 2021

   CE Expense Disclosure Travel Rob Everett 1 Jul to 31 Oct 21

   CE Expense Disclosure Travel Rob Everett 1 Jul to 31 Oct 21

7. 30 January 2024

   Financial Markets Conduct NZX Participant Rules Approval of Rule Change Notice 1 2024

   Financial Markets Conduct NZX Participant Rules Approval of Rule Change Notice 1/2024

8. 1 August 2022

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

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

9. 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

10. 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

11. 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

12. 28 February 2022

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

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

13. 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.

14. 30 November 2014

    Exclusions under the Financial Markets Conduct Act 2013 FMC Act Summary of Schedule 1

    Exclusions under the Financial Markets Conduct Act 2013 FMC Act Summary of Schedule 1. Published November 2014.

15. 7 September 2018

    NZX Participant Rule Change Notice - Off Market Trading 2018

    This notice allows for NZX to replace the NZX Participant Rules dated 1 Dec 2017 and the NZX Participant Procedures dated 1 Dec 2017