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Found 5975 results. Displaying page 29 of 399

1. 28 July 2015

   Exemption Notice - Financial Advisers Courtenay Nominees Limited Transaction Reporting

   Financial Advisers (Courtnenay Nominees Limited Transaction Reporting) Exemption Notice 2015.

   Tags

   Exemptions, Business

   Type

   PDF

2. 14 October 2016

   Exemption Notice - Financial Markets Conduct Craigs Investment Partners Self Select Schemes

   Financial Markets Conduct (Craigs Investment Partners Self-Select Schemes) Exemption Notice 2016

   Tags

   Exemptions, Business

   Type

   PDF

3. 11 October 2018

   Exemption notice - Financial Markets Conduct Craigs Investment Partners Self Select Schemes 2018

   Financial Markets Conduct (Craigs Investment Partners Self-Select Schemes) Exemption Notice 2018

   Tags

   Exemptions, Business

   Type

   PDF

4. 26 November 2018

   Exemption Notice - Financial Markets Conduct i Select Superannuation Scheme 2018

   Financial Markets Conduct (i-Select Superannuation Scheme) Exemption Notice 2018

   Tags

   Exemptions, Business

   Type

   PDF

5. 1 December 2016

   Exemption notice - Financial Markets Conduct Moorhouse Central Proportionate Ownership Scheme Exemption Notice

   Financial Markets Conduct (Moorhouse Central Proportionate Ownership Scheme) Exemption Notice 2016

   Tags

   Exemptions, Business

   Type

   PDF

6. 21 March 2018

   Exemption Notice - Moorhouse Central Proportionate Ownership Scheme

   Financial Markets Conduct (Moorhouse Central Proportionate Ownership Scheme) Exemption Notice 2018

   Tags

   Exemptions, Business

   Type

   PDF

7. 28 November 2016

   Exemption notice - Financial Markets Conduct i Select Superannuation Scheme

   Financial Markets Conduct (i-Select Superannuation Scheme) Exemption Notice 2016

   Tags

   Exemptions, Business

   Type

   PDF

8. 22 April 2016

   Exemption notice - Financial Advisers Merrill Lynch, Pierce, Fenner and Smith Incorporated.

   Financial Advisers Exemption Notice 2016: Merrill Lynch, Pierce, Fenner & Smith Incorporated.

   Tags

   Exemptions, Business

   Type

   PDF

9. 24 February 2015

   Exemption notice - Securities Act Augusta Funds Management Limited Southgate Proportionate Ownership Scheme

   Securities Act Augusta Funds Management Limited Southgate Proportionate Ownership Scheme Exemption Notice 2015

   Tags

   Exemptions, Business

   Type

   PDF

10. 22 June 2010

    ING Diversified Yield Fund and Regular Income Fund - Deed of Settlement

    Deed of Settlement regarding ING Diversified Yield Fund and Regular Income Fund, 22 June 2010.

    Tags

    Settlement, Enforcement

    Type

    PDF

11. 20 October 2022

    Williams Corporation Capital Partnership GP Limited - Formal Warning

    The FMA issued a formal warning to Williams Corporation Capital Partnership GP Limited following concerns that it may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to.

    Tags

    Offer disclosure for equity and debt offers, Roles, Business, Enforcement

    Type

    PDF

12. 6 October 2005

    Israel Securities Authority - Bilateral MOU

    Bilateral MOU with Israel securities authority

    Tags

    Regulatory cooperation, FMA

    Type

    PDF, MOU

13. 7 March 2011

    Securities Commission Annual Report 2010

    The Securities Commission Annual Report published in 2010.

    Tags

    Type

    PDF, Annual report, Corporate publications

14. 25 October 2011

    Securities commission Annual Report 2011

    The annual report as published by the Securities Commission in 2011.

    Tags

    Type

    PDF, Annual report, Corporate publications

15. 1 August 2017

    FMA Annual Corporate Plan 2018

    This Annual Corporate Plan sets out our activities for the period that will promote our strategic priorities, address regulatory risks and harms, and deliver sector outcomes.

    Tags

    Reports and Papers, FMA, News & Insights

    Type

    PDF, Annual corporate plan, Corporate publications