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  1. 7 September 2021

    OIAP Insider trading misconduct statistics

    OIAP response dated 7 September 2021, Insider trading misconduct statistics - A request for statistics relating to insider trading misconduct
    Tags
    Type
    PDF, OIA

  4. 1 July 2016

    AML CFT How to complete your annual CFT user guide 1

    This user guide is designed to help financial advisers to complete their annual AML/CFT report (annual
    report) quickly and easily. It clarifies the questions in the report template that may be open to interpretation and identifies questions that are unlikely to be relevant to small financial adviser businesses. It does not include the questions that don’t need explanation. This guide is current for 2016.
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Resource

  7. 1 November 2019

    A guide to understanding auditing and assurance 2019

    A guide to understanding auditing and assurance: FMC Reporting Entities in New Zealand explains in plain language the value and purpose of auditing and assurance. This will
    assist shareholders, investors and other readers of financial statements who are not experts in auditing and assurance to better understand the messages from the entity’s auditor and make use of this information in their decision making
    Tags
    Auditors, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Peer-to-peer lending service providers, Roles, Business
    Type
    PDF

  9. 1 October 2020

    COVID-19: Timetable of deferred Regulatory initiatives

    The table provides a list of the regulatory initiatives that are being deferred during the Covid-19 Alert Levels in August and September 2021. These deferrals will enable banks and other financial services firms to focus their efforts more effectively on continuing to operate smoothly and providing credit and other support to individuals and businesses.
    Tags
    COVID-19, News & Insights
    Type
    PDF, Notice

  12. 2 June 2017

    Amendment Notice 2017 FMC Shares in Investment Companies Designation

    The amendment notice amends the Financial Markets Conduct (Shares in Investment Companies) Designation Notice 2017 which came into force on the 19 May 2017. The notice declares that certain shares in investment companies are managed investment products rather than equity securities for the purposes of the FMC Act, but the princepal notice does not apply to shares that are NZX Main Board shares.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  14. 18 February 2019

    Expense Disclosure CE Gifts July Dec 2018

    CE gifts and benefits disclosure for the period 1 July 2018 - 31 December 2018
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  15. 1 November 2014

    Declaration by senior manager of related body

    This declaration should be completed by the the senior manager of a related body when applying for a market service licence. This is relevant to senior managers of crowd funding services; peer-to-peer; MIS managers; DIMS providers; Derivative issuers and independent trustees.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Managed investment schemes, Peer-to-peer lending service providers, Roles, Declaration, Licensing & registration, Business
    Type
    Word document, Application form