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Found 107 results. Displaying page 7 of 8

1. 28 September 2018

   AML/CFT resourcing - OIA response

   OIA response, dated 28 September 2018, resourcing for the AML/CFT work undertaken by the Securities Commission

2. 28 September 2018

   AML staff for each financial year - OIA response

   OIA response, dated 28 September 2018, regarding: Numbers of AML staff and HR for each financial year

3. 17 December 2018

   ANZ Bank New Zealand Limited - Judgment

   Judgment in the Court of Appeal in the case against ANZ Bank New Zealand Limited, 17 December 2018.

4. 23 July 2018

   Letter to agencies regarding State Services Commission Inquiry

   Letter to agencies regarding State Services Commission (SSC) inquiry into the use of external security consultants, dated 23 July 2018

5. 19 July 2018

   FMA OIA statistics - OIA response

   OIA response, dated 19 July 2018, asking for how many OIA requested were received for the previous two financial years.

6. 12 December 2019

   CPA accredited body report 2019

   This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2018 to 30 June 2019.

7. 29 September 2021

   AML/CFT monitoring insights report 2021

   Insights from the FMA’s monitoring of New Zealand’s anti-money laundering and countering financing of terrorism measures by FMA reporting entities from 1 July 2018 – 30 June 2021

8. 1 December 2019

   NZICA accredited body report 2019

   This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2018 to 30 June 2019.

9. 15 February 2019

   Financial Markets Conduct (NZX Participant Rules) - Approval of Rule Change Notice 2019

   This notice approves changes to the Participant Rules that were provided to the FMA by NZX for approval on 18 December 2018 with further minor amendments provided 17 January 2019.

10. 2 July 2018

    QFE insurance providers’ replacement business practices

    This thematic review published in July 2018 focuses on QFE insurance providers’ replacement business practices and assesses how their policies and procedures are designed to ensure consumer protection at the point of policy replacement.

11. 26 November 2018

    i-Select Superannuation Scheme Waiver

    On 22 November 2018 the FMA granted a waiver of part of the FMA levy to i-Select Superannuation Scheme, which is comprised of the Personal Plans, with i-Select Limited (i-Select) acting as the manager of the Scheme.

12. 22 November 2018

    Portfolio Superannuation Scheme Levy Waiver

    On 22 November 2018, the FMA granted a waiver of part of the FMA levy to Portfolio Superannuation Scheme, which is comprised of the Personal Plans, with Saturn Invest New Zealand Limited (Saturn) acting as the manager of the Scheme.

13. 1 November 2018

    Bank Conduct and Culture Review

    Findings from the 2018 FMA and RBNZ review of conduct and culture in New Zealand retail banks. The overall objective of this review was to understand whether there are widespread conduct and culture issues present in banks in New Zealand.

14. 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.

15. 19 January 2021

    ASX24 Obligations Review 2020

    Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives market) in New Zealand. The FMA is required to report at least once every two years1 on how well ASX 24 is meeting its licensed market operator obligations. This review covers the period 1 July 2018 to 30 June 2020. T