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  2. 4 April 2014

    Securities Trustees and Statutory Supervisors - Feedback from monitoring visits

    The findings in this report reflect common issues recorded during our on-site visits of licensees and summarises the overall assessment of monitoring quality (section 1). It also provides key messages for licensees (section 2) and outlines the future focus of monitoring reviews (section 3).
    Tags
    Monitoring, Independent trustee, Roles, Reports and Papers, Business, Supervisor
    Type
    Page, Report

  3. 13 December 2021

    Craigs DBG

    Craigs DBG including: CIP Cash Management Nominees Limited, CIP Nominees No 1 Limited, Craigs Investments Partners Limited, Craigs Investment Partners Superannuation Management Limited, Custodial Services Limited, DEL Management Limited, Deutsche Craigs Limited, Hendry Nominees Limited, Karaka Management Limited, Karaka Nominees No 1 Limited, Kowhai PE Management Limited, Kowhai PE Nominees No1 Limited, Matai Management Limited, Matai Nominees No.1 Limited, NZSIF Management Limited, Pilot Bay Funds Management Limited, Pohutukawa Management Limited, Pohutukawa II Management Limited, and QuayStreet Asset Management Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  4. 15 December 2022

    ASX 24 Obligations Review 2022

    This review covers the period 1 July 2020 to 30 June 2022 and is our fourth review of ASX 24 since its licence came into effect on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, News & Insights, Market operator
    Type
    PDF

  6. 12 November 2012

    2012 Stakeholder Survey

    View the Executive Summary of the stakeholder survey conducted by Colmar Brunton on behalf of FMA in 2012.
    Tags
    Financial Advice Provider, Roles, Independent trustee, Financial market infrastructures, Financial Adviser, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Derivative Issuer, Cryptocurrencies, Crowdfunding providers, Client money or property services provider, Authorised body under a FAP, Auditors, Administrators of financial benchmarks, Directors, Reports and Papers, Business, Interposed persons under new financial advice regime, FMA, Managed investment schemes, News & Insights, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Research, Surveys, Page

  7. 1 February 2013

    NZ finance company collapses (2006–2012)

    The scale and circumstances of the Finance industry failure since 2006 gave rise to concerns of inappropriate behaviour and breaches of the Securities Act and a programme of investigations into the failures was initiated. Read more.
    Tags
    Enforcement
    Type
    Page

  8. 1 February 2013

    NZ finance company collapses (2006–2012)

    The scale and circumstances of the Finance industry failure since 2006 gave rise to concerns of inappropriate behaviour and breaches of the Securities Act and a programme of investigations into the failures was initiated. Read more.
    Tags
    Enforcement
    Type
    Page

  10. 12 February 2020

    CPA Australia accredited body report 2020

    This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2019 to 30 June 2020.
    Tags
    Monitoring, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  11. 12 December 2017

    CPA accredited body report 2017

    This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2016 to 30 June 2017.
    Tags
    Monitoring, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  12. 1 August 2013

    MinterEllisonRuddWatts Lawyers submission

    Feedback on consultation from Minter Ellison Rudd Watts, 1 Aug 2013: Practical implications of factsheet on Managing intermediaries feedback
    Tags
    Consultations, Business
    Type
    PDF, Letter

  13. 27 September 2022

    Securities Industry Association submission

    Consultation submission from Securities Industry Association, 1 Aug 2013: Practical implications of factsheet on Managing Intermediaries feedback
    Tags
    Consultations, Business
    Type
    PDF, Submission form

  14. 29 March 2021

    Expense Disclosure CE Dec 2020

    CE Gifts and benefits disclosure for the period 1 July 2020 - 31 December 2020.
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF