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Found 3230 results. Displaying page 46 of 216

  1. 12 December 2013

    Hellenic Capital Market Commission (Greece) - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Hellenic Capital Market Commission (Greece).
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  2. 12 December 2013

    Comisao do Mercado de Valores Mobiliarios Portugal - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Comisao do Mercado de Valores Mobiliarios Portugal
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  3. 12 December 2013

    Comision Nacional de Mercado de Valores Spain - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Comision Nacional de Mercado de Valores Spain
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  4. 1 June 2012

    Licence Application Guide - overseas Auditors and Audit Firm registrations

    This guide is for overseas auditors and overseas audit firms. It explains how: an overseas audit firm can apply for authorisation of its registration; overseas auditors can apply for licences (which are not transitional licences and are referred to in this guide as ‘standard’ licences).
    Tags
    Auditors, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  7. 28 January 2022

    Application Form - Supervisors Licence TRU1.1

    Application Form for Financial Markets Supervisors Licence
    (For a New Licence or to Replace an Expiring Licence) TRU1.1
    Tags
    Licensing & registration, Roles, Business, Supervisor
    Type
    PDF, Application form

  8. 15 October 2013

    FMP Medical Services Limited - order

    Notice of orders to FMP Medical Services Limited cancelling registration of prospectus and prohibiting distribution of investment statement 15 October 2013
    Tags
    Enforcement
    Type
    PDF

  9. 23 August 2023

    FMA acknowledges guilty verdict in Pushpay insider trading case

    FMA acknowledges today’s guilty verdict in the criminal trial of an individual accused of insider conduct in relation to the sale of shares in Pushpay Holdings Limited.
    Tags
    Media release, Insider trading, News & Insights, Enforcement
    Type
    Page

  10. 16 July 2021

    Birth Certicate Redaction Factsheet

    The Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) Supervisors have produced this factsheet to confirm their position is that certain details may be redacted by a customer from their birth certificate if it is used for identity verification purposes when conducting customer due diligence.
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Fact sheet

  12. 23 August 2023

    Regulatory returns questions for licensed MIS

    Annual regulatory return information to be provided by licensed MIS providers to the FMA.
    Tags
    Roles, Regulatory returns, Business, Managed investment schemes
    Type
    Word document, Information Sheet, Spreadsheet

  14. 22 October 2019

    ACAMS Conference - OIA response Redacted

    OIA response, dated 22 October 2019, which looks into the FMA’s participation in the October 2019 ACAMS Conference (ACAMS Conference) and more generally about the FMA’s anti-money laundering (AML) regulatory resources.
    Tags
    FMA
    Type
    PDF, OIA