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Found 6580 results. Displaying page 414 of 439

  1. 5 July 2019

    Statement on the Kiwi Access Card

    Part 1, Section 2 of the amended Identity Verification Code of Practice 2013 (IVCOP) currently refers to the older 18+ card as an example of secondary or supporting form of photographic identification, which is to be used in conjunction with a form of primary nonphotographic identification such as a birth certificate in order to meet the standard set by the IVCOP.
    Tags
    AML/CFT, Regulation updates, Roles, Business
    Type
    PDF

  2. 24 May 2018

    New Zealand Equity Market Cleanliness for the years 2010-2016

    This report assesses the cleanliness of New Zealand equity markets. The assessment is based on the prevalence of abnormal price movements ahead of material price sensitive announcements -measured by the market cleanliness statistic (MCS). The report assessed the New Zealand market cleanliness for the years 2010-2016 and found that the MCS appears to be fluctuating and does not display a clear increasing or decreasing trend.
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF

  3. 30 June 2021

    Filing of financial statements: review findings and guidance

    This document provides a summary of the key findings and insights from our monitoring review of financial reporting filing obligations. It also provides guidance and sets our expectations for future reporting periods.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Roles, Business, Peer-to-peer lending service providers
    Type
    PDF, Report

  5. 3 March 2017

    Mark Warminger - Judgment

    Mark Warminger Judgment in the HIgh Court issued in the case brought about by the FMA March 2017.
    Tags
    Cases, Enforcement
    Type
    PDF

  8. 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.
    Tags
    Court decision, Enforcement
    Type
    PDF

  9. 4 September 2015

    PTT Ltd - Judgment

    The High Court Judgment in the case against PTT Ltd 4 September 2015.
    Tags
    Court decision, Enforcement
    Type
    PDF

  10. 21 February 2019

    Viaduct Capital & Mutual Finance - Judgment

    High Court verdicts and reasons in the case against Paul Bublitz, Bruce McKay and Richard Blackwood, 21 February 2019.
    Tags
    Court decision, Enforcement
    Type
    PDF

  12. 30 September 2022

    AIA New Zealand Ltd - Judgment

    23 September 2022 The Auckland High Court ordered life insurer AIA to pay a pecuniary penalty of $700,000 for making false and/or misleading representations to some customers.
    Tags
    Judgment, Enforcement
    Type
    PDF

  14. 21 February 2019

    Viaduct and Mutual finance - case verdicts

    High Court case verdicts and reasons in the case against Paul Bublitz, Bruce McKay and Richard Blackwood, February 2019.
    Tags
    Judgment, Enforcement
    Type
    PDF

  15. 4 July 2019

    Viaduct and Mutual - Judgment

    Court of Appeal Judgment in the case against Paul Neville Bublitz, 4 July 2019.
    Tags
    Court decision, Enforcement
    Type
    PDF