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Found 3728 results. Displaying page 52 of 249

  1. 13 August 2015

    Guide to market misconduct risks for MIS managers

    This information sheet is to help Managed Investment Scheme (MIS) managers understand how to manage market misconduct risks in trading activity.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Information Sheet

  4. 1 December 2013

    Identity Verification Code of Practice

    Identity Verification Code of Practice provides a suggested best practice for all reporting entities conducting name and date of birth identity verification on customers (that are natural persons) they have assessed to be low to medium risk.

    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  5. 27 December 2017

    Identity Verification Code of Practice Explanatory Note

    The Amended Identity Verification Code of Practice 2013 (the code) clarified requirements for electronic identity verification following the implementation of the Electronic Identity Verification Act 2012 and the Identity Information Confirmation Act 2012. It replaced the previous Identity Verification Code of Practice 2011.
    Tags
    AML/CFT, Roles, Business
    Type
    PDF

  6. 30 June 2023

    Offers under the FMC Act

    Anyone offering financial products for issue or sale needs to comply with financial markets legislation. The Financial Markets Conduct Act 2013 (FMC Act) defines these people as issuers. See more on how they are defined and other disclosure requirements.
    Tags
    Type
    Page

  7. 23 June 2023

    Climate Reporting Disclosures and the use of third party providers

    Guidance document - climate related disclosure and the use of third party providers
    Tags
    Authorised body under a FAP, Climate related disclosure, Financial Institutions, Roles, Climate Reporting Entities, Ethical finance, Business, Managed investment schemes
    Type
    PDF, Guidance

  9. 6 August 2021

    The Great FMA Debate

    FMA Debates give industry heavyweights the chance to face off in public in a light-hearted, competitive debate over important matters affecting Kiwi investors.
    Tags
    Campaigns, Article, Consumer, News & Insights
    Type
    Page

  11. 17 November 2011

    FMA releases results of stakeholder research findings

    FMA has published on its website a report written by management consultants Oliver Wyman detailing the findings of local stakeholder research. The research was conducted at the point FMA was established earlier in 2011.
    Tags
    Media release, News & Insights
    Type
    Page

  12. 31 July 2023

    Standard 10 Physical deliveries

    Standard 10 Physical deliveries for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  13. 31 July 2023

    Standard 11 Central securities depositories

    Standard 11 Central securities depositories for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  15. 31 July 2023

    Standard 17B Critical service providers

    Standard 17B Critical service providers for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF