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  1. 4 February 2010

    Inertialess Drive ZPE (2010) Limited

    The Securities Commission warns people who have been invited to invest in Inertialess Drive ZPE (2010) Limited that its share offer is illegal.
    Tags
    Suspected scam, Scams
    Type
    Page

  2. 15 May 2023

    Citi Prospectus Scams

    FMA are concerned that a scam operation is targeting New Zealand residents and offering investment in term deposits in the name of Citi N.A.
    Tags
    Suspected scam, Scams
    Type
    Page

  3. 10 December 2015

    Consultation Class designation of shares to MIPs in an MIS

    This consultation is for offerors, managers, supervisors, investors, legal advisers and interested parties. It aims to: gain feedback on the impact of class designations that would treat shares as managed investment products in a managed investment scheme.
    Tags
    Consultations, Roles, Business, Managed investment schemes
    Type
    PDF

  4. 16 September 2015

    Consultation Paper Employee Share Schemes

    This consultation is for companies, offerors, legal advisers. It aims to seek feedback on possible exemptions for employee share purchase schemes
    Tags
    Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    PDF

  6. 3 September 2015

    Consultation paper auditor regulation act amendmment

    This consultation is for licensed auditors and registered audit
    firms. It aims to seek views from licensed auditors and registered audit firms on the proposed changes to the Auditor Regulation Act (Prescribed Minimum Standards and
    Conditions for Licensed Auditors and Registered Firms) Notice 2012.
    Tags
    Auditors, Consultations, Roles, Business
    Type
    PDF

  7. 23 February 2023

    Notice of approved auditing courses

    Section 3(1)(e) of the prescribed minimum standards requires an individual who applies for a licence (under section 11 of the Act) after 30 June 2014 to have successfully completed a professional course in auditing approved by FMA. For the purposes of this section, FMA has approved the professional courses in auditing as documented in this PDF.
    Tags
    Auditors, Roles, Licensing & registration, Business
    Type
    PDF

  8. 3 April 2017

    Consultation paper Short duration derivatives

    This consultation is for: interested parties including offerors, investors and legal advisers. It aims to: gain feedback on the impact of a class designation for short duration derivatives.
    Tags
    Derivative Issuer, Consultations, Roles, Business
    Type
    PDF

  9. 16 April 2018

    Consultation paper annual declaration and change to standard condition

    This consultation is for all market service licensees and seeks to gain feedback on our proposals for an annual declaration of compliance from licensees as part of regulatory returns, and changes to the standard regulatory returns condition.
    Tags
    Consultations, Roles, Business, Market operator
    Type
    PDF

  10. 1 December 2014

    Transition to fmc act other types mis information sheet

    Timeline for other types of MIS to transition to the FMC Act. Other types of MIS includes a range of schemes, often tightly focused – eg property and forestry schemes. Note, excludes property and forestry schemes structured as companies (who generallyare classed as equity issuers).
    Tags
    FMC Act, Roles, Legislation, Business, Managed investment schemes, Supervisor
    Type
    PDF

  11. 10 February 2016

    Regulatory impact statement - Investor warning and acknowledgement exemptions for the $750,000 minimum investment wholesale investor exclusion

    This regulatory impact statement analyses options considered in course of policy work leading to a final decision to exempt offerors of certain debt securities relying on the $750,000 minimum investment wholesale investor exclusion, on conditions, from having to include investor warnings on offer documents and obtain an investor acknowledgement.
    Tags
    RIS, Business
    Type
    PDF

  12. 10 November 2014

    Gentrack IPO Report November 2014

    This report published in 2014 describes our conclusions following a review of matters arising out of Gentrack’s initial public offering (IPO) of shares and its disclosure at the time of the IPO. Our review has not covered matters
    relating to Gentrack’s continuous disclosure obligations under the Securities Markets Act 1988 or the NZX
    listing rules. These matters have been reviewed by NZX.
    Tags
    Reports and Papers, Investigations, News & Insights, Enforcement
    Type
    PDF

  13. 28 June 2017

    Ice Futures Europe review 2017

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
    We are required to report, at least once every two years
    on how well IFUS is meeting its obligations as a licensed
    market operator. This review covers the period 1 December 2014 to 31 December 2016. This is our first review of
    IFUS since it became licensed on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  14. 13 December 2016

    ASX 24 review 2016

    Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives
    market) in New Zealand. We are required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations. This review period covers 1 July 2014 to 30 June 2016. This is our first review of ASX 24 since its licence came into effect on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  15. 28 June 2017

    Ice Futures US review 2017

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
    We are required to report, at least once every two years
    on how well IFUS is meeting its obligations as a licensed
    market operator. This review covers the period 1 December 2014 to 31 December 2016. This is our first review of
    IFUS since it became licensed on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF