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Found 3698 results. Displaying page 109 of 247

  1. 28 January 2014

    2014 Letter of Expectations

    The letter of expectation 2014 is delivered by the Minister to the FMA to formalise expectation of the FMA as a Crown entity.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  2. 13 December 2019

    Green bonds same class exclusion info sheet 2019

    This information sheet explains the circumstances in which an issuer can make an offer of green bonds under the same class exclusion. It also explains when the Financial Markets Authority (FMA) might consider granting an individual exemption to facilitate offers of green bonds with the same credit characteristics as quoted ‘vanilla’ bonds from the same issuer.
    Tags
    Derivative Issuer, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Information Sheet

  3. 30 June 2020

    Consultation Joint response to managing intermediaries 11 nov 2013

    The Financial Markets Authority published a consultation paper on 11 July 2013 concerning certain obligations under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘AML/CFT Act’). The paper dealt with the obligations of reporting entities that transact with other
    reporting entities.17 submissions were received from market participants, industry bodies, law firms and consultants. This paper details the responses.
    Tags
    AML/CFT, Consultations, Roles, Business
    Type
    PDF

  4. 10 September 2020

    Te Reo Maori Financial Glossary He Reo Whairawa

    This project is centered on the research and development of a fundamental vocabulary of 100 wealth and investment terms. The development and promotion of this vocabulary will form a critical support for enhancing and promoting the use of te reo Māori in the wealth and investment sector, and related educational programmes. The review of existing vocabulary and the development of new vocabulary is done in collaboration with both industry and linguistic experts.
    Tags
    Business
    Type
    PDF, Resource

  5. 1 October 2014

    KiwiSaver Report 2014

    This KiwiSaver Report 2014 has been prepared in accordance with section 194 of the Act. It details the principal matters transacted under the Act during the period 1 July 2013 to 30 June 2014 (the Reporting Period), and contains the seventh annual summary of the statistical returns required to be lodged by KiwiSaver schemes under section 125 of the Act, as at 31 March 2014.
    Tags
    KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business
    Type
    PDF, Report

  7. 11 May 2020

    Tongan DLE brochure

    This Scams information sheet has been designed for Tongan-speaking audiences to quickly identify if they've been scammed and who to contact.
    Tags
    Investing, Consumer, Scams
    Type
    PDF

  8. 28 June 2018

    NZX Obligations Review 2018

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2018.
    Tags
    Reports and Papers, Market operator, Roles, Monitoring, Business, News & Insights
    Type
    PDF

  9. 24 October 2018

    Ease of doing business survey 2018

    The FMA’s “Ease of doing business survey” is a piece of research from a sample of our regulated populations and the stakeholders we deal with.
    This research helps us to better understand the impact that our work has on market participants and stakeholders. It informs the way we work and our focus on continuous improvement in our effectiveness and efficiency.
    Tags
    Reports and Papers, News & Insights
    Type
    PDF, Research

  10. 30 November 2018

    Audit Quality Monitoring Report 2018

    Our quality reviews help improve audit quality standards and ensure audit opinions are reliable. These reviews also help us to achieve our strategic goal of ensuring investors have access to resources that help them make better informed financial decisions. This report summarises our findings from the quality reviews we carried out between 1 July 2017 and 30 June 2018.
    Tags
    Monitoring, Reports and Papers, Business, News & Insights
    Type
    PDF

  11. 26 September 2019

    Consultation green bonds and other responsible investment products

    This consultation seeks issuer and investor input on green bonds and other responsible investment products that expressly take into account environmental, social, and/or governance considerations. Submissions will initially be used to help us develop guidance for issuers.
    Tags
    Consultations, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF

  12. 1 June 2014

    Certificate of compliance and authority to apply applicant or their authorised person

    Certification of Applicant's compliance with requirements and authority to apply for market service licence under Part 6 of the FMC Act 2013. This is relevant to Crowd funding; Peer-to-peer; MIS; DIMS; derivative issuers and independent trustee applicants.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Managed investment schemes, Peer-to-peer lending service providers, Roles, Business
    Type
    Word document, Application form

  13. 1 October 2014

    Getting the best outcome from your AMLCFT Audit

    This information is intended to help our REs, especially small financial adviser businesses, get value from their AML/CFT Audit. Adopting all (or any) of these items in discussions with auditors is optional, but we believe that by considering these suggestions, REs are more likely to achieve the best possible results from their audit.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF

  14. 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

  15. 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