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Found 160 results. Displaying page 5 of 11

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.
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.
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.
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.
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.
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).
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 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.
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.
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.
8 June 2016

Financial Markets Conduct - Tonga Development Bank Ave Paanga Pau Vouchers Designation Notice 2016

This notice declares that the Ave Pa'anga Pau Vouchers issued by Tonga Development Bank are not a financial product for the purposes of the FMC Act 2013.
17 December 2014

NZICA Accredited Bodies Report 2014

This report contains the outcome of our assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2013 to 30 June 2014.
13 April 2015

Response to Submissions Derivatives Issuer Standard Condition: Suitability of Products for Clients

In November 2013 we consulted on the minimum standards and conditions for derivatives issuers wishing to be licensed under the Financial Markets Conduct Act 2013 (the Act). As part of that consultation we sought feedback on a condition relating to the assessment of suitability of products for clients. Two options were provided, one being disclosure based and the other an assessment by the issuer.
8 September 2014

Consultation Paper: Derivatives Issuer Standard Condition on Suitability - Suitability of products for clients

In November 2013 the Financial Markets Authority consulted on the minimum standards and conditions for derivatives issuers wishing to be licensed under the Financial Markets Conduct Act 2013 (the Act). As part of that consultation we sought responses on a condition relating to the assessment of suitability of products for clients. Two options were provided, one being disclosure based and the other an assessment by the issuer.
1 December 2014

Accredited Body Report Certified Public Accountants Australia 2014

This report contains the outcome of our assessment of Certified Public Accountants Australia (CPA Australia) for the period 1 July 2013 to 30 June 2014 (the Review Period).