Search results

Keywords

Date Published

Sort by:

Found 4106 results. Displaying page 178 of 274

11 July 2013

consultation paper practical implications of reporting entities transacting with other reporting entities and the factsheet on managing intermediaries

In this paper FMA seeks submissions on the practical implications of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘AML/CFT Act’) in situations where reporting entities are transacting with other reporting entities.

Tags

AML/CFT, Consultations, Roles, Reporting entities, Business

Type

PDF
5 February 2019

OIA Reporting Enitites

OIA response, dated 5 February 2019, regarding the number of times in 2019 that the FMA requested a reporting entity (RE) seek an audit of its risk assessment

Tags

FMA

Type

PDF, OIA
30 November 2016

Portfolio Superannuation Fund Levy Waiver

On 23 November 2016 the FMA granted a
waiver of part of the FMA levy to Portfolio Superannuation Fund in respect of its Personal Plans funds. The Scheme is comprised of the Personal Plans, with Saturn Invest New Zealand Limited (Saturn) acting as the manager of the Scheme.

Tags

Managed investment schemes, Investor information, KiwiSaver & Superannuation, Roles, Waivers, Business, Consumer

Type

PDF
29 June 2014

NZX Obligations Review 2014

NZX, as New Zealand’s only Registered Exchange, is
an essential part of New Zealand’s financial markets.
The General Obligations Review provides FMA with
the opportunity to report on the adequacy of the
arrangements NZX had in place to comply with its
obligations during a particular review period, and to
identify issues that, in FMA’s view, would assist NZX to
ensure its continued compliance.

Tags

Reports and Papers, Market operator, Roles, Business, News & Insights

Type

PDF
22 May 2018

2018/2019 Annual letter of Expectations

2018 Annual letter of expectations issued by the Minister to the FMA.

Tags

Annual letter of expectations from the Minister, FMA

Type

PDF
22 November 2018

Portfolio Superannuation Scheme Levy Waiver

On 22 November 2018, the FMA granted a waiver of part of the FMA levy to Portfolio Superannuation Scheme, which is comprised of the Personal Plans, with Saturn Invest New Zealand Limited (Saturn) acting as the manager of the Scheme.

Tags

Managed investment schemes, Investor information, KiwiSaver & Superannuation, Roles, Waivers, Business, Consumer

Type

PDF
1 December 2013

Accredited Body Report – New Zealand Institute of Chartered Accountants 2013

NZICA’s obligations under the Act require it to have adequate and effective systems, policies and procedures
in place to perform its regulatory functions. These functions include: licensing of domestic auditors and registering domestic audit firms; monitoring the population registered by NZICA; promoting and monitoring competence; taking action against misconduct.
This report contains the outcome of FMA’s assessment and covers the period 1 July 2012 to 30 June 2013
(the review period).

Tags

Reports and Papers, Monitoring, Auditors, Roles, Business, News & Insights

Type

PDF
9 April 2020

CoFR table of deferred regulatory initiatives April 2020

The table provides a comprehensive list of the regulatory initiatives that are being deferred during the Covid-19 crisis.

Tags

COVID-19, Council of financial regulators (CoFR), FMA, News & Insights

Type

PDF
26 July 2020

Our immediate priorities during the COVID 19 response and recovery

This information sheet outlines the FMA’s immediate priorities as New Zealand continues to respond to the COVID-19 pandemic, showing how we will support that response and recovery, while also ensuring financial service providers support their customers and investors. The information sheet was published in July 2020 and updated in June 2021.

Tags

COVID-19, FMA, News & Insights

Type

PDF, Information Sheet
18 November 2020

Consumer Insights on Scams and Fraud research report 2020

The main objectives of the research report commissioned by the FMA were to Measure the level of confidence the New Zealand public have in the New Zealand financial markets; Measure perceptions and awareness of the FMA; Explore how investors and have responded to market volatility following the COVID-19 pandemic; Capture New Zealanders’
experience of investment scams.

Tags

Reports and Papers, Monitoring, Business, FMA, News & Insights, Scams

Type

PDF, Research
12 July 2013

consultation paper charitable and religious purposes exemption review

In this paper we seek submissions on proposals relating to the review the Financial Markets Authority (FMA) is undertaking on the Securities Act (Charitable and Religious Purposes) Exemption Notice 2003 (SR 2003/66) (the CRP Notice), which is due to expire on 30 November 2013.
FMA is reviewing the CRP Notice simultaneously with the Reserve Bank of New Zealand’s review of the appropriate treatment of charitable and religious organisations under the Non-bank Deposit Takers regime.

Tags

Consultations, Supervisor, Roles, Business

Type

PDF
12 August 2021

OIAP Referrals to FMA under FSP Act

OIAP response dated 12 August 2021, Referrals to FMA under FSP Act - Request for statistics relating to referrals to the FMA under the FSP Act

Tags

Type

PDF, OIA
19 February 2018

Conduct Outcomes Report 2017

The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017.
It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018.

Tags

Financial Advice Provider, Supervisor, Monitoring, Roles, Business, Enforcement

Type

PDF
1 March 2016

Consultation paper Exemptions impacting overseas businesses and restricted schemes 1

This consultation is for: FMC reporting entities, licensed
managers and scheme auditors, overseas banks, licensed independent trustees, restricted scheme managers, advisers and interested parties. It aims to seek feedback on the
exemption proposals explained.

Tags

Independent trustee, Managed investment schemes, Consultations, Roles, Business

Type

PDF
16 February 2017

2017 Letter of Expectations

The letter of expectation 2017 is delivered by the Minister to the FMA to formalise expectation of the FMA as a Crown entity.

Tags

Annual letter of expectations from the Minister, FMA

Type

PDF