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  7. 25 July 2017

    Offering financial products in New Zealand and Australia under mutual recognition (MRSO) regulatory guide

    This is a guide for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries.
    It explains what issuers have to do under the trans-Tasman mutual recognition scheme for offers of financial products.
    This is a joint guide published by the Australian Securities and Investments Commission.
    Tags
    Financial Adviser, Roles, Derivative Issuer, Business
    Type
    PDF, Guidance

  8. 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

  9. 28 June 2021

    NZX Market Operator Obligations Review 2021

    Findings from the FMA's review of how well NZX is meeting its
    licensed market operator obligations, for the period
    1 January to 31 December 2020
    Tags
    Reports and Papers, Market operator, Roles, Business, News & Insights
    Type
    PDF

  10. 26 January 2021

    ASX 24 derivatives market review released

    The Financial Markets Authority (FMA) has published the findings of its obligations review of the ASX 24 derivatives market for the period of 1 July 2018 to 30 June 2020.
    Tags
    Compliance, Derivatives, Ways to invest, Investing, Roles, Media release, Business, Consumer, Market operator, News & Insights
    Type
    Page

  12. 28 January 2021

    Market Operator Obligations Targeted Review – NZX

    Findings from the FMA’s targeted review of whether NZX is meeting its licensed market operator obligations
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    Page

  13. 28 September 2023

    Catalist market operator obligations review 2023

    Findings from the FMA’s review of how well Catalist is meeting its licensed market operator obligations, for the period 1 April 2022 to 31 March 2023.
    Tags
    Roles, Reports and Papers, Business, Market operator, News & Insights
    Type
    PDF

  15. 5 September 2022

    Directors

    The office of a director carries with it a wide range of ethical, legal and commercial duties and obligations. This page provides a range of guidance and resources to assist directors in their duties in New Zealand.
    Tags
    Directors, Roles, Business
    Type
    Page