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Found 3726 results. Displaying page 240 of 249

  1. 30 June 2015

    Disclosure of fees paid to auditors by listed issuers

    In our report, we advised market participants that we would continue to monitor the disclosure of audit and non-audit fee information by issuers, and follow up with another review to assess whether the quality of disclosures have improved.
    Tags
    Auditors, Directors, Offer disclosure for equity and debt offers, Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Paper

  2. 15 November 2017

    Investigation into certain trading conduct of Goldman Sachs New Zealand Limited

    During our investigation into Mark Warminger, we saw trading activity by Goldman Sachs that gave cause for concern and warranted further investigation. This activity may have presented a false or misleading appearance of the price and supply of securities, which is why it came to our attention. Read more.
    Tags
    Cases, Investigations, Reports and Papers, News & Insights, Enforcement
    Type
    Page

  3. 18 April 2018

    General stocktake of fund updates

    Quarterly fund updates (fund updates) let investors know important information about their managed fund, such as how it is performing, what it is costing them, and what their fund is investing in.
    Tags
    Roles, Discretionary investment management scheme (DIMS), Offers of financial products, Reports and Papers, Business
    Type
    Page

  4. 24 May 2018

    New Zealand Equity Market Cleanliness for the years 2010-2016

    The assessment is based on the prevalence of abnormal price movements ahead of material price sensitive announcements -measured by the market cleanliness statistic (MCS).
    Tags
    Offer disclosure for equity and debt offers, Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  5. 27 February 2019

    Using behavioural insights to improve KiwiSaver outcomes

    KiwiSaver behavioural insights 2019 report uses behavioural insights to improve KiwiSaver outcomes. Read the report here.
    Tags
    Roles, Reports and Papers, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Report

  6. 29 January 2019

    Life Insurer Conduct and Culture

    Findings from an FMA and RBNZ review of conduct and culture in New Zealand life insurers
    Tags
    Roles, Conduct, Insurance Providers, Reports and Papers, Financial Institutions, Business, News & Insights
    Type
    Page, Report

  7. 29 June 2018

    Switzerland recognises New Zealand audit oversight regime

    The Swiss Government has announced its recognition of the New Zealand audit oversight regime as equivalent to the Swiss standards, permitting NZ-regulated auditors to operate in Switzerland.
    Tags
    Auditors, Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Notice

  9. 17 May 2021

    Negative Interest Rate report

    The report is a summary of responses received from our survey of licensed financial services firms in September 2020 regarding their readiness for negative interest rates.
    Tags
    Reports and Papers, Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Roles, Banking, Financial Institutions, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
    Type
    Page

  10. 9 September 2021

    ‘No action’ relief as a result of COVID-19

    COVID-19 is having a significant impact on many market participants. We recognise that this may lead to practical difficulties which affect their ability to meet their regulatory obligations. Where a market participant breaches, or expects to breach, a regulatory obligation as a result of the COVID-19 circumstances and seeks relief from the FMA, the primary approach we intend to take is ‘no-action’.
    Tags
    COVID-19, News & Insights
    Type
    Page

  11. 26 June 2023

    Consultation: Proposed CoFI guidance note on intermediated distribution

    Following consultation published CoFI guidance note intermediated distribution, the summary of key themes, and the submissions report.
    Tags
    Banking, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Roles, Consultations, Financial Institutions, Business
    Type
    Page

  12. 17 December 2015

    Consultation paper: Recognition of overseas regimes – proposed exemption relief

    Consultation paper: Recognition of overseas regimes – proposed exemption relief. We are consulting on possible exemptions for overseas issuers and overseas FMC reporting entities from a range of issues.
    Tags
    Offer disclosure for equity and debt offers, Consultations, Exemptions, Roles, Business
    Type
    Page

  13. 16 June 2023

    Ice Futures US review

    The FMA was required to report, at least once every two years, on how well ICE Futures U.S., Inc. (IFUS) was meeting its obligations as a licensed market operator. View the report on this page.
    Tags
    Roles, Reports and Papers, Business, Market operator, News & Insights
    Type
    Page, Report

  15. 4 July 2023

    Capital Gold Investment – False claims, withholding funds

    Capital Gold Investment is falsely claiming to be a New Zealand company, using a NZ Business Number (NZBN) of another company that has been removed from the New Zealand Companies Register.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page