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  1. 20 February 2015

    Consultation paper: Going Public – A Director’s Guide

    Going Public – A Director’s Guide is intended to help directors assess whether going public is the right choice for their company and to provide an insight into the process of becoming a public company.
    Tags
    Directors, Roles, Consultations, Business
    Type
    Page

  2. 3 November 2014

    Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224

    Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224. This paper gives an overview of the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    FMC Act, Legislation, Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    Page

  6. 20 February 2015

    Consultation paper: Going Public – A Director’s Guide

    Going Public – A Director’s Guide is intended to help directors assess whether going public is the right choice for their company and to provide an insight into the process of becoming a public company.
    Tags
    Directors, Roles, Consultations, Business
    Type
    Page

  7. 3 November 2014

    Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224

    Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224. This paper gives an overview of the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    FMC Act, Legislation, Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    Page

  9. 16 July 2018

    Exemption from the market index requirement guidance

    This guidance note aims to clarify what we expect of MIS managers in relation to the market index requirement for quarterly fund updates.
    Tags
    Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  10. 30 September 2014

    Consultation Paper: The new accountability framework - Governance under Part 4 of the FMC Act

    Consultation Paper: The new accountability framework - Governance under Part 4 of the FMC Act. 10 submissions were received. Many of the comments were incorporated into a guidance note, outlining our expectations for governance under Part 4 of the FMC Act.
    Tags
    FMC Act, Governance, Legislation, Consultations, Roles, Business, FMA, Managed investment schemes, Supervisor
    Type
    Page

  14. 30 June 2016

    Apple Fields Limited - Justin Prain and Mark Schroeder

    FMA brought charges against directors of Apple Fields Limited (Apple Fields) for breaches of the Financial Reporting Act 1993, by not filing financial statements for three years (2011, 2012 and 2013).
    Tags
    Financial reporting breaches, Breach, Enforcement
    Type
    Page