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Found 1611 results. Displaying page 45 of 108

17 May 2021

Negative Interest Rate report 2021

This report is for FMA-licensed entities and their key stakeholders. It gives feedback on key findings of the FMA’s September 2020 survey on industry readiness for negative interest rates.

Tags

Monitoring, Reports and Papers, Roles, Business, News & Insights

Type

PDF
27 June 2011

NZX Obligations Review 2011

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 2011.

Tags

Market operator, Reports and Papers, Roles, Business, News & Insights

Type

PDF
30 June 2020

NZX Obligations Review 2020

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 2020.

Tags

Market operator, Monitoring, Roles, Reports and Papers, Business, News & Insights

Type

PDF
1 May 2020

Record keeping for financial advice providers

This information sheet sets out our expectations for how licensed financial advice providers (FAPs) can demonstrate compliance with the standard condition for record keeping. It will be useful for small and medium-sized FAPs to consider the examples provided when reviewing their internal arrangements for creating and maintaining records.

Tags

Financial Advice Provider, Financial Adviser, FMC Act, Roles, Legislation, Business

Type

PDF, Guidance, Information Sheet
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
28 February 2019

ASX 24 Obligations Review 2018

The FMA is required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations.The ASX 24 Obigations Review 2018 covers the period 1 July 2016 to 30 June 2018.

Tags

Monitoring, Roles, Market operator, Business

Type

PDF, Report
8 September 2014

Consultation Paper: Derivatives Issuer Standard Condition on Suitability - Suitability of products for clients

In November 2013 the Financial Markets Authority consulted on the minimum standards and conditions for derivatives issuers wishing to be licensed under the Financial Markets Conduct Act 2013 (the Act). As part of that consultation we sought responses on a condition relating to the assessment of suitability of products for clients. Two options were provided, one being disclosure based and the other an assessment by the issuer.

Tags

Derivative Issuer, Consultations, Roles, Business

Type

PDF
25 March 2021

Consultation Response to submissions regulatory returns DI MIS DIMS

Response to consultation submissions: Content of regulatory returns for licensed DI, MIS managers and DIMS providers.

Tags

Derivative Issuer, Discretionary investment management scheme (DIMS), Managed investment schemes, Consultations, Roles, Business

Type

PDF
27 June 2019

ICE Futures US Obligations Review 2019

ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
The FMA is required to report, at least once every two years on how well IFUS is meeting its obligations as a licensed market operator.

Tags

Market operator, Reports and Papers, Roles, Business, News & Insights

Type

PDF
19 January 2021

ASX24 Obligations Review 2020

Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives
market) in New Zealand. The FMA is required to report at least once every two years1 on how well ASX 24 is meeting
its licensed market operator obligations. This review covers the period 1 July 2018 to 30 June 2020. T

Tags

Monitoring, Reports and Papers, Market operator, Roles, Business, News & Insights

Type

PDF
19 February 2018

Conduct Outcomes Report 2017

The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017.
It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018.

Tags

Financial Advice Provider, Supervisor, Monitoring, Roles, Business, Enforcement

Type

PDF
27 June 2019

ICE Futures Europe Obligations Review 2019

ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
The FMA is required to report, at least once every two years on how well IFUS is meeting its obligations as a licensed market operator.

Tags

Market operator, Reports and Papers, Roles, Business, News & Insights

Type

PDF
1 March 2016

Consultation paper Exemptions impacting overseas businesses and restricted schemes 1

This consultation is for: FMC reporting entities, licensed
managers and scheme auditors, overseas banks, licensed independent trustees, restricted scheme managers, advisers and interested parties. It aims to seek feedback on the
exemption proposals explained.

Tags

Independent trustee, Managed investment schemes, Consultations, Roles, Business

Type

PDF
13 April 2015

Response to Submissions Derivatives Issuer Standard Condition: Suitability of Products for Clients

In November 2013 we consulted on the minimum standards and conditions for derivatives issuers wishing to
be licensed under the Financial Markets Conduct Act 2013 (the Act). As part of that consultation we sought feedback on a condition relating to the assessment of suitability of products for clients. Two options were provided, one being disclosure based and the other an assessment by the issuer.

Tags

Derivative Issuer, Consultations, Roles, FMC Act, Legislation, Business

Type

PDF
4 November 2021

Record keeping self assessment tool

Keeping accurate records of the financial advice you provide helps maintain a relationship of transparency and trust with your clients. It also ensures you can provide evidence of how you have complied with your licensee obligations as and when required.
Use this self-assessment tool to see if you’re ready to complete the record keeping section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.

Tags

Financial Adviser, New Financial Advice regime, Roles, Business

Type

PDF