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Found 3726 results. Displaying page 9 of 249

  1. 16 April 2015

    The FMA completes Memorandum of Understanding with all NZ’s Dispute Resolution Schemes

    FMA has recently signed MOUs with the ISO and the BOS. This follows the completion of MOUs with the FDRS and FSCL last year. The FMA and the dispute resolution schemes already enjoy a cooperative relationship and these MOUs formalise and enhance that collaboration.
    Tags
    Media release, Governance, Business, FMA, News & Insights
    Type
    Page

  3. 5 May 2017

    KiwiSaver trial to target decision-making a decade out from retirement

    The FMA is working with ANZ to see if behavioural insights can prompt more ANZ KiwiSaver members to get retirement advice, or use retirement-planning tools when they hit 56 years old.
    Tags
    KiwiSaver providers, Media release, Managed investment schemes, Roles, Business, News & Insights
    Type
    Page

  4. 9 June 2017

    FMA files charges under Crimes Act

    Robert Ian South and Murray Byron Provan appeared in the Tauranga District Court in relation to various charges filed by the FMA under the Crimes Act. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  8. 21 July 2017

    Consumers tell FMA about financial providers’ conduct

    The FMA has completed its first survey of consumers’ experience of conduct. It follows the publication of the FMA’s guide to its view of conduct earlier this year. This focused on the ‘five Cs for good conduct’: capability, conflict, culture, controls and communication.
    Tags
    Conduct, Media release, Business, News & Insights
    Type
    Page

  9. 28 September 2017

    Consultation paper: Short duration derivatives

    Consultation paper: Short duration derivatives. The short-duration derivative issuers should be licensed. This decision is based on our view that the law requires businesses selling these products to have a licence. Read more.
    Tags
    Derivative Issuer, Consultations, Roles, Business
    Type
    Page

  10. 4 May 2017

    Consultation paper: Proposed guidance on substantial product holder disclosures

    Consultation paper: Proposed guidance on substantial product holder disclosures. This will be of interest to fund management firms, those who have a substantial product holding in a listed issuer, and any other interested parties.
    Tags
    Offer disclosure for equity and debt offers, Managed investment schemes, Supervisor, Consultations, Roles, Business
    Type
    Page

  14. 19 December 2014

    Consultation: Corporate Governance in New Zealand – Principles and Guidelines

    Consultation: Corporate Governance in New Zealand – Principles and Guidelines handbook is intended as a reference guide for directors, executives and advisers, to help them decide how best to apply the nine key corporate governance principles.
    Tags
    Directors, Roles, Consultations, Business
    Type
    Page, Consultation

  15. 11 October 2021

    FMA censures Firma NZ for breaches to derivatives issuer licence obligations

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has censured Firma Foreign Exchange Corporation (NZ) Limited after finding it had materially contravened a number of its obligations as a licensed derivatives issuer (DI).
    Tags
    Derivative Issuer, Enforceable action, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page