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Found 2136 results. Displaying page 38 of 143

  1. 28 June 2017

    Ice Futures Europe review 2017

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
    We are required to report, at least once every two years
    on how well IFUS is meeting its obligations as a licensed
    market operator. This review covers the period 1 December 2014 to 31 December 2016. This is our first review of
    IFUS since it became licensed on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  2. 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.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  3. 28 June 2017

    Ice Futures US review 2017

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
    We are required to report, at least once every two years
    on how well IFUS is meeting its obligations as a licensed
    market operator. This review covers the period 1 December 2014 to 31 December 2016. This is our first review of
    IFUS since it became licensed on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  4. 1 December 2010

    Superannuation schemes report 2010

    This report was issued by the Government Actuary and presented to the House of Representatives in 2010 pursuant to
    Section 194 of the KiwiSaver Act 2006.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF

  5. 19 October 2012

    Superannuation Schemes Report 2012

    This report was issued by the Government Actuary and presented to the House of Representatives in 2012 pursuant to
    Section 194 of the KiwiSaver Act 2006.
    Tags
    Reports and Papers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF, Report

  6. 13 June 2016

    FMA releases Auditor regulation and oversight plan

    The FMA has released its auditor regulation and oversight plan for 2016. The FMA’s plan sets out the new style of audit report issued by the External Reporting Board, intended to provide better information to investors.
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page

  7. 7 July 2023

    Alvarium Wealth (NZ) Limited

    Alvarium Wealth (NZ) Limited, FSP20861 are licenced by the FMA as a Managed Investment Scheme Manager (MIS).
    Tags
    Reporting entities, Business
    Type
    Page

  8. 7 July 2023

    Climate related disclosures implementation approach

    The Financial Sector (Climate-related Disclosures and Other Matters) Amendment Bill (CRD Bill) received Royal assent on 27 October 2021. This document briefly explains the Financial Sector (Climate-related Disclosures and Other Matters) Amendment Act 2021 (the CRD legislation) and outlines the Financial Markets Authority’s (FMA) implementation approach for the CRD regime over a period of approximately 4 years, through to 2025/26. It sets out the roles and responsibilities of the various government agencies, to help industry understand ‘who is doing what’ with regard to CRD.
    Tags
    Authorised body under a FAP, Client money or property services provider, Directors, Banking, Roles, Offer disclosure for equity and debt offers, Insurance Providers, Climate related disclosure, Financial Institutions, Climate Reporting Entities, Business, FMA
    Type
    PDF, Guidance

  9. 14 July 2023

    The Snowball DBG

    The Snowball DBG includes The Snowball Effect Limited FSP350046, Snowball Nominees Limited FSP654971.
    Tags
    Reporting entities, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  10. 1 January 2011

    Oxley Mergers and Acquisitions

    Oxley Mergers and Acquisitions is a suspected scam. 717 Texas Avenue, Houston, TX 77002-2761, UNITED STATES OF AMERICA
    Tags
    Suspected scam, Scams
    Type
    Page

  12. 8 March 2022

    Financial Markets Conduct (JP Morgan Chase Bank N.A.) Exemption Notice 2022

    The Financial Markets Conduct (JP Morgan Chase Bank N.A) Exemption Notice 2022 exempts exempt persons (being JP Morgan Chase Bank N.A (JPM) and any related body corporate of JPM) from the substantial product holder disclosure obligations contained in sections 276 to 279 of the Financial Markets Conduct Act 2013
    Tags
    Exemptions, Business
    Type
    Page

  13. 26 June 2018

    Tricom Securities Limited

    26 June 2018, We have received a report about a representative of the entity/website making unsolicited calls to New Zealand residents and offering to invest in shares. It could be involved in a scam.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page

  14. 15 August 2019

    Koura Wealth Limited

    Koura Wealth Limited, FSP657491, is a licensed Managed Investment Scheme manager.
    Tags
    Licensed entity, Roles, Reporting entities, Business, Managed investment schemes
    Type
    Page

  15. 26 September 2019

    Circleforex and Yuanhui

    The FMA recommends exercising caution before dealing with www.circleforex.com as this website claims to be associated with FSP476086 in New Zealand which is incorrect.
    Tags
    Suspected scam, Scams
    Type
    Page