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Found 3787 results. Displaying page 229 of 253

17 May 2021

Negative Interest Rate report 2021

This report is for FMA-licensed entities and their key stakeholders. It gives feedback on key findings of the FMA’s September 2020 survey on industry readiness for negative interest rates.

Tags

Monitoring, Reports and Papers, Roles, Business, News & Insights

Type

PDF
27 June 2011

NZX Obligations Review 2011

Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2011.

Tags

Market operator, Reports and Papers, Roles, Business, News & Insights

Type

PDF
30 June 2020

NZX Obligations Review 2020

Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2020.

Tags

Market operator, Monitoring, Roles, Reports and Papers, Business, News & Insights

Type

PDF
14 November 2021

Consumer IPO information and guide

This investor guide tells you what you need to know before investing in a new share offer

Tags

Shares, Ways to invest, Investor information, Investing, Consumer

Type

PDF
28 June 2018

NZX Obligations Review 2018

Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2018.

Tags

Reports and Papers, Market operator, Roles, Monitoring, Business, News & Insights

Type

PDF
28 February 2019

ASX 24 Obligations Review 2018

The FMA is required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations.The ASX 24 Obigations Review 2018 covers the period 1 July 2016 to 30 June 2018.

Tags

Monitoring, Roles, Market operator, Business

Type

PDF, Report
25 March 2021

Consultation Response to submissions regulatory returns DI MIS DIMS

Response to consultation submissions: Content of regulatory returns for licensed DI, MIS managers and DIMS providers.

Tags

Derivative Issuer, Discretionary investment management scheme (DIMS), Managed investment schemes, Consultations, Roles, Business

Type

PDF
27 June 2019

ICE Futures US Obligations Review 2019

ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
The FMA is required to report, at least once every two years on how well IFUS is meeting its obligations as a licensed market operator.

Tags

Market operator, Reports and Papers, Roles, Business, News & Insights

Type

PDF
1 May 2019

Audit Quality Perceptions Research report 2019

The overall aim of this research is to inform FMA of public and industry perceptions of the audit quality in NZ and enable them to target work to increase understanding of the auditor’s role, strengthen perceived value of that role, along with knowledge of the FMA’s role of oversight and regulationof auditors.

Tags

Monitoring, Reports and Papers, Auditors, Roles, Business, News & Insights

Type

PDF
19 January 2021

ASX24 Obligations Review 2020

Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives
market) in New Zealand. The FMA is required to report at least once every two years1 on how well ASX 24 is meeting
its licensed market operator obligations. This review covers the period 1 July 2018 to 30 June 2020. T

Tags

Monitoring, Reports and Papers, Market operator, Roles, Business, News & Insights

Type

PDF
27 June 2019

ICE Futures Europe Obligations Review 2019

ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
The FMA is required to report, at least once every two years on how well IFUS is meeting its obligations as a licensed market operator.

Tags

Market operator, Reports and Papers, Roles, Business, News & Insights

Type

PDF
1 March 2016

Consultation paper Exemptions impacting overseas businesses and restricted schemes 1

This consultation is for: FMC reporting entities, licensed
managers and scheme auditors, overseas banks, licensed independent trustees, restricted scheme managers, advisers and interested parties. It aims to seek feedback on the
exemption proposals explained.

Tags

Independent trustee, Managed investment schemes, Consultations, Roles, Business

Type

PDF
1 August 2015

Investigations and Enforcement Report 2015

This report highlights the key themes and issues in our investigation and enforcement activity in the year to 30 June
2015. It is intended to provide insight into the work we do, and help businesses and professionals better understand the
behaviour we expect.

Tags

Monitoring, Reports and Papers, Business, News & Insights, Enforcement

Type

PDF
28 June 2022

NZX Obligations Review 2022

Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2021.

Tags

Offer disclosure for equity and debt offers, Market operator, Roles, Business

Type

PDF
30 September 2020

Consultation Auditor Regulation Act Replacement and Amendments

This consultation is for: licensed auditors and registered audit firms, accredited bodies, and other interested parties.
Itseek views from licensed auditors and registered audit firms on the proposed revocation of the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012 and Amendment Notice 2015, and introduction of the Auditor
Regulation Act (Prescribed Minimum Standards and
Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.

Tags

Auditors, Consultations, Roles, Business

Type

PDF