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  5. 30 January 2013

    Expense disclosure CE 2012 jul dec

    CE gifts and hospitality disclosure for the period 1 July 2012 - 31 December 2012
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  8. 5 June 2020

    Pacific scams A4 infosheet in English

    This Investment scams information sheet has been created for Pacific Island audiences to easily identify the warning signs of a scam and where to get help.
    Tags
    Investor information, Consumer, Scams
    Type
    PDF

  9. 1 August 2013

    Consultation submission Buddle Findlay

    Submission on Consultation Paper: Practical Implications of reporting entities transacting with other reporting entities and the factsheet on managing intermediaries
    Tags
    Consultations, Business
    Type
    PDF, Letter, Submission form

  10. 1 August 2013

    Trustees Executors submission

    Submission from Trustees Executors in response to the Consultation paper: practical implications of reporting entities transacting with other reporting entities
    Tags
    Consultations, Business
    Type
    PDF, Submission form

  14. 29 September 2022

    Catalist market operator obligations review 2022

    This report covers the first market obligations review for Catalist, and covers the period from 21 June 2021, the licence commencement date, to 31 March 2022, the end of Catalist’s first reporting period.
    Tags
    Market operator, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  15. 12 December 2017

    Class legislative notice summary 2017

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted in effect as at 1 December 2017.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice