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Found 84 results. Displaying page 5 of 6

1. 26 June 2017

   Exemption notice - Financial Markets Conduct Australian Scholarships Group Friendly Society Limited

   Financial Markets Conduct (Australian Scholarship Group Friendly Society Limited) Exemption Notice 2017

2. 30 June 2017

   Mark Warminger -Penalty Judgment

   High Court Penalty Judgment in the case against Mark Warminger, 29 June 2017.

3. 7 April 2017

   Exemption Notice - The City of London Investment Trust plc

   Financial Markets Conduct Exemption Notice 2017 - The City of London Investment Trust plc.

4. 5 May 2017

   FMC (NZX Main Board/Debt Market Listing Rules) Approval of Rule Change Notice 2017)

   The changes approved in this notice are: a new NZX Corporate Governance Code that will replace existing Appendix 16 to the Listing Rules, changes to the Listing Rule 10.4.5, changes to references to the title of Appendix 16, and correction of a typographical error.

5. 7 September 2017

   Anthony Wilson - sentencing notes redacted

   District Court at Auckland sentencing notes in the case against Anthony Norman Wilson, 12 July 2017.

6. 28 August 2017

   Prince Partners - Judgment

   High Court Judgment in the case against Prince and Partners Trustee Company Limited, 25 August 2017.

7. 28 June 2017

   Exemption Notice - Financial Markets Conduct Heinz Wattie Limited Pension Plan

   Financial Markets Conduct Act 2013 exemption notice issued to Heinz Wattie Limited re Pension Plan 2017.

8. 13 June 2017

   Jeffrey Peter Honey - Sentencing notes

   Sentencing notes, district court at Auckland in the case against Jeffrey Peter Honey, 13 June 2017.

9. 9 March 2017

   Submissions Report KiwiSaver guidance note

   This submissions report is in response to submissions on the draft KiwiSaver advice guidance note consultation, 2017.

10. 3 March 2017

    Mark Warminger - Judgment

    Mark Warminger Judgment in the HIgh Court issued in the case brought about by the FMA March 2017.

11. 2 February 2017

    FMAs view of conduct guidance

    This guidance note is for: directors and executives of licensed financial services providers. The guide was published in 2017.

12. 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.

13. 4 December 2018

    CPA Australia accredited body report 2018

    This report contains the outcome of our assessment of CPA Australia for the period 1 July 2017 to 30 June 2018.

14. 4 December 2018

    NZICA accredited body report 2018

    This report contains the outcome of our assessment of NZ Institute of Chartered Accountants (NZICA) for the period 1 July 2017 to 30 June 2018.

15. 2 February 2017

    Submissions Report Conduct Guide consultation

    This is a summary of the submissions received by the FMA in response to the consultation of draft guide to the FMA's view of conduct, 2017.