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Found 2682 results. Displaying page 10 of 179

  1. 26 January 2012

    FMA to issue guidance on effective disclosure in offer documents

    The Financial Markets Authority has published draft guidance for securities issuers, directors and their advisers on how to prepare and present effective prospectuses and investment statements.
    Tags
    Media release, News & Insights
    Type
    Page, Guidance

  2. 3 July 2014

    Review of non-filing of financial statements

    The non-filing of financial statements by some financial markets participants is a persistent problem and has prompted FMA to undertake a review of issuers’ compliance with their financial reporting obligations.
    Tags
    Directors, Roles, Reports and Papers, Business
    Type
    Page, Financial reporting, Report

  3. 27 September 2013

    Monitoring of non-GAAP disclosures

    Our review focused on the disclosure of non-GAAP profit information in market communications. This report is intended for issuers, their directors and preparers of financial information.
    Tags
    Auditors, Directors, Roles, Reports and Papers, Business
    Type
    Page, Financial reporting, Report

  4. 21 May 2020

    Financial Markets Conduct (Canterbury Mortgage Trust Group Investment Fund) Exemption Notice 2020

    The Financial Markets Conduct (Canterbury Mortgage Trust Group Investment Fund) Exemption Notice 2020 exempts Canterbury Fund Managers Limited in respect of the Canterbury Mortgage Trust Group Investment Fund (Scheme) from requirements under the Financial Markets Conduct Act 2013 to prepare and submit audited financial statements in relation to the Scheme’s balance date of 31 March 2020. tion Notice 2020 grants an exemption in favour of small to medium-sized licensed providers of DIMS. It provides relief from certain financial reporting and audit obligations under the FMC Act.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  5. 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

  6. 10 February 2016

    Regulatory impact statement - Investor warning and acknowledgement exemptions for the $750,000 minimum investment wholesale investor exclusion

    This regulatory impact statement analyses options considered in course of policy work leading to a final decision to exempt offerors of certain debt securities relying on the $750,000 minimum investment wholesale investor exclusion, on conditions, from having to include investor warnings on offer documents and obtain an investor acknowledgement.
    Tags
    RIS, Business
    Type
    PDF

  7. 2 July 2021

    Filing of financial statements: review findings and guidance

    This report provides a summary of the key findings and insights from the FMA’s monitoring review of financial reporting filing obligations. Also provides guidance and sets expectations for future reporting periods.
    Tags
    Directors, Reports and Papers, Roles, Auditors, Business, News & Insights
    Type
    Page, Financial reporting

  8. 17 March 2022

    FMA issues warning about croftcapital.ltd

    WARNING: FMA are concerned that https://capitalcycleslimited.com is involved in a scam. The website falsely claims that it is “legally registered with the New Zealand Securities & Investment company with NZ:1271353”.
    Tags
    Suspected scam, Scams
    Type
    Page

  9. 19 July 2023

    FMA Investor Profile – Liz Greive

    Investor profile featuring Liz Greive, a semi-retired investor and founder of Share My Super, an organisation that distributes individuals’ surplus superannuation donations to fight child poverty.
    Tags
    Article, Investing, Ways to invest, Managed funds, Consumer, News & Insights
    Type
    Page

  10. 11 July 2022

    Approach to oversight of financial statements

    In this document we provide a summary of our main work in monitoring compliance with financial reporting obligations by FMC reporting entities and registered schemes (regulated entities) from 2022-2025.
    Tags
    Auditors, Directors, Roles, Business
    Type
    PDF, Financial reporting

  11. 30 June 2021

    Filing of financial statements: review findings and guidance

    This document provides a summary of the key findings and insights from our monitoring review of financial reporting filing obligations. It also provides guidance and sets our expectations for future reporting periods.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Roles, Business, Peer-to-peer lending service providers
    Type
    PDF, Report

  12. 28 June 2017

    Statement of Performance Expectation 2017

    The Statement of Performance Expectations (SPE) is one of two documents that set out how we measure our
    future performance and report on the progress of that performance against our performance targets. This is our 2017 report.
    Tags
    Type
    PDF, Statement of Performance Expectations, Corporate publications

  13. 30 August 2014

    Guidance - One off Issuers

    This information sheet clarifies when one-off or occasional issuers must register on the Financial Service Providers Register (FSPR) under the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (in addition to any disclosure obligations that they may have under the Financial Markets Conduct Act 2013).
    Tags
    FSPR, Business
    Type
    PDF, Information Sheet

  14. 25 February 2022

    CoFR agencies - OIA request

    OIA request response regarding information discussed by CoFR regarding the Credit Contracts and Consumer Finance Act (CCCFA).
    Tags
    Type
    PDF, OIA

  15. 8 July 2022

    Approach to oversight of financial statements

    In this document we provide a summary of our main work in monitoring compliance with financial reporting obligations by FMC reporting entities and registered schemes (regulated entities) from 2022-2025.
    Tags
    Auditors, Directors, Roles, Climate related disclosure, Climate Reporting Entities, Business
    Type
    Page, Financial reporting, Guidance