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Found 132 results. Displaying page 8 of 9

1. 30 May 2015

   New requirements for lawyers offering contributory mortgages

   From 1 December 2016 all new offers of contributory mortgages must be made under the FMC Act.

2. 25 November 2016

   161125 ANZ Investment Services New Zealand Limited Section 68 Notice

   The notice under Section 68 of FMC Act to ANZ Investment Services New Zealand Limited, 25 November 2016.

3. 13 January 2017

   Exemption Notice - JP Morgan Global Growth Income plc and JPMorgan Japanese Investment Trust plc

   Financial Markets Conduct (JP Morgan Global Growth & Income plc and JP Morgan Japanese Investment Trust plc) Exemption Notice 2016

4. 29 June 2016

   Replacing life insurance - who benefits?

   This 2016 report from the FMA raises concerns about the extent of replacement business in the life insurance industry.

5. 30 June 2016

   Justin William Prain and Mark Joseph Schroeder - Appeal Judgment

   Judgment in the Court of Appeal in the case against Justin William Prain and Mark Joseph Schroeder 16 June 2016.

6. 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.

7. 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.

8. 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.

9. 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.

10. 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.

11. 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.

12. 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.

13. 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

14. 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.

15. 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.