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Found 3787 results. Displaying page 74 of 253

26 October 2018

Financial Markets Conduct (NZX Listing Rules) - Approval of Rules Notice 2018

This notice approved the NZX Listing Rules that were provided to the FMA by NZX for approval on 24 Aug 2018, with amendments on 25 Oct 2018 (The New Listing Rules).

Tags

FMC Act, Legislation, Business

Type

PDF, Notice
14 September 2015

IPOs under the Financial Markets Conduct Act 2013 research report

Research reports for IPOs under the Financial Markets Conduct Act 2013

Tags

FMC Act, Reports and Papers, Legislation, Business, News & Insights

Type

PDF
31 January 2012

AML/CFT Guide for small financial adviser businesses

This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).

Tags

AML/CFT, Financial Adviser, Roles, Business

Type

PDF, Guidance
31 January 2018

AML/CFT Guide for small financial adviser businesses

This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).

Tags

AML/CFT, Reporting entities, Roles, Business

Type

PDF, Resource
30 November 2022

Financial Institutions Regulatory Impact Statement (RIS) standard conditions

This document is for financial institutions, their advisers, and
interested parties. It discusses standard conditions for
financial institution licences.

Tags

Banking, RIS, Insurance Providers, Financial Institutions, Business

Type

PDF
24 March 2016

Exemption Notice 2016 - Financial Markets Conduct AIA International Limited

Financial Markets Conduct Exemption Notice 2016: AIA International Limited.

Tags

Exemptions, Business

Type

PDF
25 March 2016

Exemption notice - Financial Markets Conduct Hallmark Life Insurance Company

Financial Markets Conduct Exemption Notice 2016: Hallmark Life Insurance Company Limited.

Tags

Exemptions, Business

Type

PDF
17 March 2016

Exemption Notice 2016 - Financial Markets Conduct Diligent Corporation

Financial Markets Conduct Exemption Notice 2016: Diligent Corporation.

Tags

Exemptions, Business

Type

PDF
8 July 2016

Exemption notice - Financial Markets Conduct Foodstuffs Provident Fund

Financial Markets Conduct Exemption Notice 2016: Foodstuffs Provident Fund.

Tags

Exemptions, Business

Type

PDF
23 August 2016

Exemption notice - Financial Markets Conduct Antipodes Gold Limited

Financial Markets Conduct Exemption Notice 2016: Antipodes Gold Limited.

Tags

Exemptions, Business

Type

PDF
26 October 2022

Exemption Notice - Financial Markets Conduct (ANZ Group Holdings Limited)

Financial Markets Conduct (ANZ Group Holdings Limited) Exemption Notice 2022

Tags

Type

PDF, Financial Markets Conduct Act exemptions, Current, Exemption notice
21 August 2023

Exemption Notice - Financial Markets Conduct (BGC Partners (Australia) Pty Limited)

Financial Markets Conduct (BGC Partners (Australia) Pty Limited) Exemption Notice 2022

Tags

Type

PDF, Exemption notice, Financial Markets Conduct Act exemptions, Current
23 March 2021

Exemption notice - Financial Markets Conduct Trustee Executors Limited

Financial Markets Conduct (Trustees Executors Limited) Exemption Notice 2021

Tags

Exemptions, Business

Type

PDF
16 May 2017

Exemption notice - Financial Advisers Certified Investment Management Analyst

Financial Advisers (Certified Investment Management Analyst) Exemption Notice 2017.

Tags

Exemptions, Business

Type

PDF
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