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Found 3349 results. Displaying page 30 of 224

1. 3 March 2015

   Consultation Paper - Disclosing non-GAAP financial information

   Consultation Paper - Disclosing non-GAAP financial information. Read more here.

   Tags

   Offer disclosure for equity and debt offers, Consultations, Roles, Business

   Type

   Page

2. 3 March 2015

   Consultation Paper - Disclosing non-GAAP financial information

   Consultation Paper - Disclosing non-GAAP financial information. Read more here.

   Tags

   Offer disclosure for equity and debt offers, Consultations, Roles, Business

   Type

   Page

3. 23 June 2022

   Financial Markets Conduct (ANZ Bank New Zealand Limited-Offer of PPS) Exemption Notice 2022

   Financial Markets Conduct (ANZ Bank New Zealand Limited-Offer of PPS) Exemption Notice 2022

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

4. 8 October 2021

   Financial Markets Conduct (Kiwibank Limited-Offer of PPS) Exemption Notice 2021

   Financial Markets Conduct (Kiwibank Limited-Offer of PPS) Exemption Notice 2021

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

5. 30 June 2017

   Financial Markets Conduct (Coöperatieve Rabobank U.A.) Exemption Notice 2017

   Financial Markets Conduct (Coöperatieve Rabobank U.A.) Exemption Notice 2017

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

6. 10 October 2018

   Financial Markets Conduct (Craigs Investment Partners Self-Select Schemes) Exemption Notice 2018

   Financial Markets Conduct (Craigs Investment Partners Self-Select Schemes) Exemption Notice 2018 exempts Craigs Investment Partners Superannuation Management Limited (CIPSML)from some provisions of FMC Regulations. Read more.

   Tags

   Exemptions, Business

   Type

   Page

7. 25 November 2018

   Financial Markets Conduct (i-Select Superannuation Scheme) Exemption Notice 2018

   Financial Markets Conduct (i-Select Superannuation Scheme) Exemption Notice 2018 exempts i-Select Limited (i-Select) as manager of the i-Select Superannuation Scheme (the self-select scheme) from some provisions of FMC Act. Read more.

   Tags

   Exemptions, Business

   Type

   Page

8. 16 March 2021

   Financial Markets Conduct (Merrill Lynch, Pierce, Fenner & Smith Incorporated) Exemption Notice 2021

   Financial Markets Conduct (Merrill Lynch, Pierce, Fenner & Smith Incorporated) Exemption Notice 2021

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

9. 13 July 2015

   FMA obtains enforceable undertakings from NZ residents found liable for financial misconduct in Australia

   The Financial Markets Authority (FMA) has agreed to accept enforceable undertakings from David John Hobbs and Jacqueline Hobbs, limiting their activities in New Zealand’s financial markets.

   Tags

   Media release, Cases, News & Insights, Enforcement

   Type

   Page

10. 1 March 2019

    Former RFA Warned for Facilitating Offending under the Financial Service Providers (Registration and Dispute Resolution) Act 2008

    We have warned a (former) registered financial adviser, Jonathan Simon Antony Branton-Casey, in relation to his professional conduct which fell short of the FMA’s expectations of a registered financial adviser under the Financial Advisers Act 2008 (FA Act) and/or under the Crimes Act 1961.

    Tags

    Scams

    Type

    Page

11. 5 July 2018

    Individual falsely holding himself out as financial adviser sentenced to community work and community detention

    Garry James Patterson has been sentenced to 200 hours’ community work and 3 months’ community detention at the Christchurch District Court after pleading guilty to two charges brought by the Financial Markets Authority (FMA).

    Tags

    Cases, Media release, News & Insights, Enforcement

    Type

    Page

12. 23 December 2020

    Financial Markets Conduct (Overseas Banks Offering Simple Debt Products) Exemption Amendment Notice 2020

    Financial Markets Conduct (Overseas Banks Offering Simple Debt Products) Exemption Amendment Notice 2020

    Tags

    Exemptions, Secondary legislation, Business

    Type

    Page

13. 13 March 2024

    Natalie Carter sentenced to 12 months home detention for forgery and financial markets legislation offences

    Natalie Ann Carter, a former Hawke’s Bay-based mortgage broker, has been sentenced to 12 months home detention following a criminal prosecution brought by the Financial Markets Authority (FMA).

    Tags

    Media release, Court – criminal, Powers, Financial Adviser, Roles, Business, News & Insights, Enforcement

    Type

    Page

14. 12 September 2022

    Consultation: Proposed regulatory returns for licensed Class 3 Financial Advice Providers (FAPs)

    Consultation on the proposed regulatory returns for licensed Class 3 Financial Advice Providers (FAPs).

    Tags

    Financial Advice Provider, New Financial Advice regime, Roles, Consultations, Authorised body under a FAP, Business

    Type

    Page

15. 10 October 2022

    Consultation: Proposed regulatory returns for licensed Class 2 financial advice providers (FAPs)

    CONSULTATION CLOSED - This consultation is primarily intended for Class 2 licensed financial advice providers.

    Tags

    Financial Advice Provider, Consultations, Regulatory returns, Roles, Business

    Type

    Page, Open, Consultation