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  1. 6 November 2019

    Class legislative notice summary 2019

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 30 October 2019. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  3. 12 January 2016

    NZMDT Market Rules 2016

    This notice allows for the NZX to replace the NZ Markets Disciolinary Tribunal Rules date 16 April 2015 with the NZMDT Rules provided to the FMA on 11 Nov 2015
    Tags
    Market operator, Roles, Business
    Type
    PDF, Notice

  4. 1 December 2013

    Accredited Body Report – CPA Australia 2013

    The Auditor Regulation Act (the Act) requires the Financial Markets Authority (FMA) to assess to what extent CPA Australia, as an accredited body under the Act: has adequate and effective audit regulatory systems;
    complies with its obligations under the Auditor Regulation Act (Prescribed Minimum Standards for Accredited Bodies) Notice 2012. This is for the period ended 30 June 2013 report.
    Tags
    Reports and Papers, Auditors, Roles, Monitoring, Business, News & Insights
    Type
    PDF

  5. 13 January 2015

    2015 Letter from the Minister

    Annual letter from the Minister 2015.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  7. 30 January 2014

    Expense disclosure CE gifts 2013 Jul Dec

    CE gifts and hospitality disclosure for the period 1 July 2013 - 31 December 2013
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  12. 17 February 2021

    NZX Derivatives Market Rules Approval of Rule Change Notice Feb 2021

    Pursuant to section 331 of the Act, the FMA approves changes to the NZX Derivatives Market Rules in accordance with the proposed amendments provided for approval by NZX to the FMA on 22 December 2020.
    Tags
    Regulation updates, Derivative Issuer, Roles, Business
    Type
    PDF, Notice

  15. 11 February 2014

    ASX Ltd Financial Product Market Licence 2014

    New Zealand Financial Product Market Licence (Australian Securities Exchange Limited) 2014
    Tags
    Market operator, Roles, Licence, Licensing & registration, Business
    Type
    PDF