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Found 142 results. Displaying page 4 of 10

1. 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

2. 22 June 2017

   UDC Finance Limited Waiver Notice - PDS consideration unnecessary

   UDC Finance Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 - PDS consideration unnecessary. June 2017.

3. 30 November 2015

   KVB Kunlun New Zealand Limited Waiver Notice

   KVB Kunlun New Zealand Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary

4. 8 April 2024

   Regulatory impact statement Standard condition on business continuity and technology systems

   Regulatory Impact Statement: Operational resilience condition for certain market services licence holders under Part 6 of the Financial Markets Conduct Act 2013.

5. 11 September 2015

   First Mortgage and First Mortgage PIE Trust Waiver Notice

   First Mortgage and First Mortgage PIE Trust - Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary

6. 1 June 2014

   Declaration by current proposed director of licence applicant

   Declaration to be completed by current or proposed directors of a licence applicant for market services licences under the FMC Act 2013.

7. 29 June 2016

   UDC Finance Limited Waiver Notice - consideration complete / reduction of waiting period

   UDC Finance Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 consideration complete / reduction of waiting period. June 2016.

8. 24 February 2015

   Custodians of managed investment schemes information sheet

   This information sheet outlines the duties and responsibilities under the Financial Markets Conduct Act 2013 (FMC Act) for custodians of registered managed investment schemes.

9. 1 June 2014

   Declaration by current proposed senior manager of licence applicant

   Declaration to be completed by a current proposed senior manager of a licence applicant for all applications for roles under the FMC Act 2013.

10. 15 February 2023

    Validus - Interim Stop Order

    INTERIM STOP ORDER made by the Financial Markets Authority (FMA) pursuant to section 465 of the Financial Markets Conduct Act 2013 (Act), issued to Validus.

11. 24 February 2015

    Information sheet Related party transactions under the Financial Markets Conduct Act 2013.1.1

    This information sheet outlines the rules on related-party transactions that apply to managed investment schemes under the Financial Markets Conduct Act 2013 (FMC Act).

12. 1 August 2013

    Westpac submission

    Submission from Westpac New Zealand Limited in response to the Consultation Paper: Practical implications of reporting entities transacting with other reporting entities, 8 Aug 2013

13. 13 March 2018

    Self select retirement schemes information for scheme managers

    This information sheet explains how these schemes are regulated under the Financial Markets Conduct Act 2013 (FMC Act) and what exemptions and waivers may be available.

14. 1 June 2014

    Curriculum vitae of management team member of licence applicant

    Form to be completed with details of the Curriculum vitae of management team members of a licence applicant for all applications under the FMC Act 2013.

15. 1 August 2013

    Kensington Swan Lawyers submission

    Response to consultation paper from Kensington Swan, 1 Aug 2013: Practical implications of Reporting Entities transacting with other Reporting Entities and the Factsheet on Managing Intermediaries.