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Found 6014 results. Displaying page 14 of 401

1. 18 November 2014

   Financial Advisers (Australian Qualified Advisers)

   .Financial Advisers (Australian Qualified Advisers) Exemption Notice 2014 - expired

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

2. 31 August 2022

   Securities Markets Act (Disclosure of Relevant Interests by Directors and Officers)

   Securities Markets Act (Disclosure of Relevant Interests by Directors and Officers) expired exemption notice

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

3. 31 August 2022

   Securities Act (Australian Registered Managed Investment Schemes)

   Securities Act (Australian Registered Managed Investment Schemes) - expired exemption notice

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

4. 18 March 2011

   Securities Act (TCNZ Finance Limited)

   Securities Act (TCNZ Finance Limited) expired exemption notice

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

5. 11 September 2015

   Financial Reporting Act (Lloyds Banking Group) Exemption Notice 2015

   Financial Reporting Act (Lloyds Banking Group) Exemption Notice 2015 expired exemption notice

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

6. 26 February 2016

   The FMA’s 100 billion dollar challenge: Raising confidence in the managed funds industry

   The final phase of implementing the Financial Markets Conduct Act (FMC Act) involves the Financial Markets Authority (FMA) licensing a sector responsible for about $100 billion of New Zealanders’ wealth.

   Tags

   Managed funds, Media release, Ways to invest, Investing, Consumer, News & Insights

   Type

   Page, Guidance

7. 22 April 2016

   Securities Act (New Zealand Racing Board) Exemption Notice 2016

   Securities Act (New Zealand Racing Board) Exemption Notice 2016 -expired

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

8. 1 July 2011

   Financial Advisers (Australian Licensees) Exemption Notice 2011

   The exemption is granted to permit Australian-regulated financial services firms to provide financial adviser services into New Zealand on an offshore basis. Expired

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

9. 31 August 2022

   Securities Markets Act (Disclosure of Relevant Interests by Directors and Officers))

   Securities Markets Act (Disclosure of Relevant Interests by Directors and Officers)) exempton notice

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

10. 20 December 2011

    Securities Act (Directors’ Certificates—Collective Investment Schemes)

    Securities Act (Directors’ Certificates—Collective Investment Schemes) - expired exemption notice

    Tags

    Exemptions, Secondary legislation, Business

    Type

    Page

11. 30 April 2015

    SPI directors fined for breaching financial reporting rules

    The two directors of SPI Property Fund Limited have today been fined $25,312 each for breaches of the Financial Reporting Act in the Auckland District Court. Read more.

    Tags

    Media release, Cases, News & Insights, Enforcement

    Type

    Page

12. 31 July 2015

    FMA files civil proceedings against portfolio manager for alleged market manipulation

    The Financial Markets Authority (FMA) has issued civil proceedings in the High Court seeking pecuniary penalties against Mr Mark Warminger for trading carried out while employed by Milford Asset Management Limited (Milford). The trading occurred between December 2013 and August 2014.

    Tags

    Media release, Cases, News & Insights, Enforcement

    Type

    Page

13. 22 April 2016

    Financial Markets Conduct (Heartland Bank Limited Share Sale Plan) Exemption Notice 2016

    Financial Markets Conduct (Heartland Bank Limited Share Sale Plan) Exemption Notice 2016

    Tags

    Exemptions, Secondary legislation, Business

    Type

    Page

14. 28 October 2016

    Financial Markets Conduct (Communal Facilities in Real Property Developments) Designation Notice 2016

    Financial Markets Conduct (Communal Facilities in Real Property Developments) Designation Notice 2016

    Tags

    Designations, Business

    Type

    Page

15. 1 December 2016

    Financial Markets Conduct (Moorhouse Central Proportionate Ownership Scheme) Exemption Notice 2016

    Financial Markets Conduct (Moorhouse Central Proportionate Ownership Scheme) Exemption Notice 2016 expired

    Tags

    Exemptions, Secondary legislation, Business

    Type

    Page