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Found 203 results. Displaying page 11 of 14

1. 12 December 2017

   Class legislative notice summary 2017

   This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted in effect as at 1 December 2017.

2. 9 December 2015

   NZICA accredited bodies report 2015

   This report contains the outcome of our assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2014 to 30 June 2015.

3. 1 April 2014

   FMA’s new role as regulator of conduct

   From 1 April 2014 FMA replaces the Commerce Commission as the primary regulator of conduct in relation to financial products and services. Find out what this means.

4. 29 September 2021

   AML/CFT monitoring insights report 2021

   Insights from the FMA’s monitoring of New Zealand’s anti-money laundering and countering financing of terrorism measures by FMA reporting entities from 1 July 2018 – 30 June 2021

5. 18 December 2020

   NZICA accredited body report 2020

   This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2019 to 30 June 2020.

6. 1 December 2019

   NZICA accredited body report 2019

   This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2018 to 30 June 2019.

7. 12 December 2017

   NZICA accredited body report 2017

   This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2016 to 30 June 2017.

8. 28 May 2014

   Fonterra Shareholders' Market Rules - Approval of market rules notice 2014

   This notice comes into force on 28 May 2014. The notice allows NZX to replace FSM Rules dated 14 May 2013 with FSM rules dated 1 April 2014

9. 16 December 2024

   ASX 24 Obligations Review 2024

   Findings from the FMA’s review of how well ASX 24 is meeting its licensed market operator obligations, for the two-year period 1 July 2022 to 30 June 2024.

10. 13 November 2023

    Financial Market Infrastructures Act Designation Notice NZ Clear 2023

    This notice is issued under Clause 4 of Schedule 1 of the Financial Markets Infrastructures Act 2021 by the Reserve Bank of New Zealand and the Financial Markets Authority.

11. 12 November 2020

    Cases Investigated - OIA request

    OIA response, dated 12 November 2020, questions asked around the policies, documents, communications and number of cases / prosecutions the FMA has assessed between 1 July 2017 - 12 November 2020

12. 30 September 2020

    Approval of (NZX Listing Rules) - Approval of Rule Change Notice 2020

    This notices approves changes to the NZX Listing Rules and allows NZX to amend the disclosure settings for direct listings under the NZX Listing rules dated 1 Jan 2020

13. 4 October 2019

    Psychometric testing - OIA request

    OIA response, dated 4 October 2019, which psychometric testing occurred as part of initiatives by the FMA and costs associated during the period 1 July 2017 to 30 June 2019

14. 11 July 2022

    Class legislative notice summary 2022

    This is a summary of the Financial Markets Conduct Act class legislative notices we have granted as at 1 June 2022. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.

15. 13 December 2016

    ASX 24 review 2016

    Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives market) in New Zealand. We are required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations. This review period covers 1 July 2014 to 30 June 2016. This is our first review of ASX 24 since its licence came into effect on 1 December 2014.