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Found 4300 results. Displaying page 22 of 287

  1. 29 March 2023

    FMA issues formal warning to Vanguard

    We have issued a formal warning to Vanguard Investments Australia Limited (Vanguard), for failing to lodge a required notice on the New Zealand Companies Office Disclose Register.
    Tags
    Media release, Enforceable action, Formal warning, Powers, Offer disclosure for equity and debt offers, Roles, Business, News & Insights, Enforcement
    Type
    Page

  2. 24 January 2023

    FMA publishes 2022 annual report

    Our 2022 annual report details a year that encompassed four main areas of focus for the regulator: monitoring and oversight of financial market participants; preparations for new financial markets legislation; building investor capability; and enforcement activity.
    Tags
    Media release, News & Insights
    Type
    Page, Annual report, Corporate publications

  3. 22 June 2021

    MIS liquidity risk management review

    This report contains recommendations on liquidity stress testing frameworks, processes and procedures, following the August 2020 self-assessment survey completed by regulated entities for a two-year period ending 31 December 2019. It will be useful for directors, senior management and investment personnel of managed investment schemes.
    Tags
    Roles, KiwiSaver providers, Business, Managed investment schemes, Supervisor
    Type
    PDF, Report

  6. 2 June 2009

    Daiken New Zealand Limited

    Daiken New Zealand Limited is a KiwiSaver emempt employer
    Tags
    KiwiSaver Exempt Employer, Business
    Type
    Page

  7. 6 June 2007

    The University of Waikato

    The University of Waikato is a KiwiSaver exempt employer
    Tags
    KiwiSaver Exempt Employer, Business
    Type
    Page

  9. 4 May 2023

    Financial Markets Conduct (Sharesies KiwiSaver Scheme) Exemption Notice 2023

    The Notice exempts Sharesies Investment Management Limited (Sharesies) as manager of the Sharesies KiwiSaver Scheme (Scheme), and the self-select fund in the Scheme (self-select fund) from certain provisions of the Financial Markets Conduct Act 2013 (the FMC Act) and the Financial Markets Conduct Regulations 2014 (the FMC Regulations), and the Financial Markets Conduct (Fees) Regulations 2014.
    Tags
    Exemptions, Business
    Type
    Page

  10. 21 June 2007

    AA Driver Training Limited

    AA Driver Training Limited is a KiwiSaver exempt employer
    Tags
    KiwiSaver Exempt Employer, Business
    Type
    Page

  11. 9 May 2023

    Sharesies levy waiver

    Pursuant to REgulation 14 of the Financial Markets Authority (Levies) Regulations 2012, the FMA grated a waiver of part of the FMA levy to the proposed Sharesies KiwiSaver Scheme.
    Tags
    Waivers, Roles, Business, Managed investment schemes
    Type
    PDF

  12. 23 May 2023

    FMA files criminal charges against Yuen Pok (Paul) Loo

    FMA has filed criminal charges against Yuen Pok (Paul) Loo following offences under financial markets legislation.
    Tags
    Media release, Cases, Enforceable undertaking, Powers, News & Insights, Enforcement
    Type
    Page

  13. 25 June 2020

    FMA welcomes start date of new financial advice regime and confirmation of disclosure requirements

    The Financial Markets Authority (FMA) is encouraging advisers to apply for their transitional licences by the end of the year, as the Government announces the start date to the new financial advice regime. Read the full media release here.
    Tags
    Financial advice, New Financial Advice regime, Media release, Financial Services Legislation Amendment Act (FSLAA), Financial Advice Provider, Roles, Business, Consumer, News & Insights
    Type
    Page

  14. 8 June 2023

    FMA files proceedings against AA Insurance for alleged fair dealing breaches

    FMA has filed civil proceedings against AA Insurance Limited (AAI) for failing to apply multi policy and membership discounts, as well as guaranteed no claims bonuses to eligible customers’ premiums,
    Tags
    Media release, Fair dealing, Cases, Powers, Enforceable undertaking, Court – civil, Insurance Providers, Business, News & Insights, Enforcement
    Type
    Page

  15. 25 May 2023

    Sustainable? Ethical? The substance must back up the claims

    Paul Gregory, Executive Director Response and Enforcement, FMA talks about greenwashing and how misleading or false claims about social or environmental benefits go to the heart of fair dealing, and how the overall impression provided by marketing materials is critical.
    Tags
    Roles, Business, News & Insights, Supervisor
    Type
    Page