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Found 124 results. Displaying page 8 of 9

1. 29 June 2017

   NZX Obligations Report 2017

   This report outlines our annual review of how well NZX is meeting its statutory obligations, and covers the 2016 calendar year.

2. 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.

3. 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.

4. 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.

5. 2 May 2016

   Craigs - Settlement Agreement

   Craigs and FMA Settlement agreement,following an investigation into potential breaches of Anti-Money Laundering and Countering Financing of Terrorism Act 2009 in relation to Craigs. 2 May 2016.

6. 22 November 2016

   Response to submissions on regulatory returns for prescribed intermediary services

   In October 2016 we consulted on the information we will request from crowdfunding and peer-to-peer lending licensees through annual regulatory returns. This document details our response to submissions.

7. 23 December 2024

   Case stated for the opinion of the Court

   Under Section 48 of the Financial Markets Authority Act 2011 and Part 21 of the High Court Rules 2016 in the matter of a case stated by the Financial Markets Authority

8. 22 March 2016

   Response to submissions proposed variations to standard conditions of market services licences

   This document summarises key themes from the 18 written submissions we received following consultation in November and December 2016 on our proposals to vary certain standard conditions for market service licences.

9. 4 April 2019

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

   This notice allows NZX to replace the NZX Issuer Rules, dated 1 January 2016, with the corresponding amended rules with effect from 1 January 2020 or as otherwise determined by NZX in accordance with the Participant Rule 1.4.1

10. 28 February 2019

    ASX 24 Obligations Review 2018

    The FMA is required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations.The ASX 24 Obigations Review 2018 covers the period 1 July 2016 to 30 June 2018.

11. 1 July 2016

    Staff and board members gifts and hospitality - OIA response

    OIA response, dated 6 July 2018, to a request regarding FMA’s policy surrounding staff and board members accepting gifts and/or hospitality and, a list of any gifts and/or hospitality accepted staff and board members since 1 July 2016.

12. 30 November 2018

    Wynyard Group Limited - Investigation report

    This report sets out the Financial Markets Authority’s (FMA) conclusions following an investigation into the compliance of Wynyard Group Limited (Wynyard) with its continuous disclosure and fair dealing obligations. The investigation considered the period leading up to the company’s failure in late 2016.

13. 3 October 2017

    KiwiSaver Annual Report 2017

    We are required to report each year on our main KiwiSaver activities. This report covers the period from 1 July 2016 to 30 June 2017, and contains a summary of the statistical returns required to be lodged by KiwiSaver schemes as at 31 March 2017.

14. 11 June 2018

    Key findings from the recent re-licensing of supervisors

    During 2016 the International Monetary Fund (IMF) undertook a review of the New Zealand financial sector. The Financial Stability Assessment Programme report recommended that the FMA ”continue to engage with Supervisors to ensure that they take a consistent approach to their supervision of Managed Investment Scheme (MIS) managers”

15. 30 November 2016

    i-Select Superannuation Scheme Levy Waiver

    On 23 November 2016, the FMA granted a waiver of part of the FMA levy to i-Select Superannuation Scheme in respect of its Personal Plans funds. The Scheme is comprised of the Personal Plans, with i-Select Limited (i-Select) acting as the manager of the Scheme.