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Found 2955 results. Displaying page 28 of 197

10 December 2015

Getting over the barriers to financial advice

The survey has uncovered some of the main reasons New Zealanders shy away from seeking financial advice, even when they know it might help them.

Tags

Financial Advice Provider, Media release, Roles, Business, News & Insights

Type

Page
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
19 February 2018

Conduct Outcomes Report 2017

The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017.
It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018.

Tags

Financial Advice Provider, Supervisor, Monitoring, Roles, Business, Enforcement

Type

PDF
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
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
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
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
9 November 2012

Stakeholder survey – Final report 2012

The FMA conducts an annual survey to establish how our stakeholders rate our performance. This is the 2012 report.

Tags

Reports and Papers, FMA, News & Insights

Type

PDF, Research
23 April 2024

liquidity risk management guide

This FMA guide outlines how Managers and Supervisors can demonstrate they are effectively managing and overseeing liquidity risk.

Tags

Managed Investment Schemes, Supervisors, Roles, Business, Managed investment schemes

Type

PDF, Guidance
11 April 2017

Consultation paper: Improving financial information in an equity PDS

Consultation paper: Improving financial information in an equity PDS. Guidance for equity issuers on how to disclose financial information in product disclosure statements (PDS) in a clear, concise and effective manner.

Tags

Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Consultations, Roles, Business

Type

Page
10 March 2023

Financial Services Legislation Amendment Act 2019 (FSLAA)

The Financial Services Legislation Amendment Act 2019 (FSLAA) introduces a new framework for giving financial advice in New Zealand. Read a summary of the changes, the FMA's role, who needs a licence and get information on how to apply for a licence on these pages.

Tags

Compliance, New Financial Advice regime, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Roles, Business, Interposed persons under new financial advice regime, Nominated representatives

Type

Page
24 April 2020

Conduct expectations in response to COVID-19

Conduct expectations in response to COVID-19. The FMA and other members of the Council of Financial Regulators (CoFR) are continuing to closely monitor the impact of COVID-19 on New Zealand’s financial system.

Tags

Client money or property services provider, COVID-19, Cryptocurrencies, Derivatives, Financial Adviser, Independent trustee, Market operator, Roles, Ways to invest, Investing, Business, Consumer, News & Insights

Type

Page
13 March 2018

Self select retirement schemes information for scheme managers

This information sheet explains how these schemes are regulated under the Financial Markets Conduct Act 2013 (FMC Act) and what exemptions and waivers may be available.

Tags

Managed investment schemes, Roles, Business

Type

PDF, Information Sheet
5 August 2020

KiwiSaver Statements Report 2020

The FMA commissioned Buzz Channel to conduct research among New Zealanders to understand their opinions on their KiwiSaver statements and how they use them.

Tags

KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor

Type

PDF, Research
19 July 2018

FMA OIA statistics - OIA response

OIA response, dated 19 July 2018, asking for how many OIA requested were received for the previous two financial years.

Tags

FMA

Type

PDF, OIA