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Found 6348 results. Displaying page 392 of 424

1. 1 November 2018

   Bank Conduct and Culture Review

   Findings from the 2018 FMA and RBNZ review of conduct and culture in New Zealand retail banks. The overall objective of this review was to understand whether there are widespread conduct and culture issues present in banks in New Zealand.

   Tags

   Banking, Conduct, Business

   Type

   PDF, Report

2. 15 November 2018

   Bank Conduct and Culture Report 2018

   The FMA and the RBNZ commissioned Buzz Channel to conduct an online survey among New Zealanders to understand their experience of the conduct and culture of the main bank they use for their personal banking. This is the report.

   Tags

   Reports and Papers, Banking, Business, News & Insights

   Type

   PDF, Surveys

3. 17 May 2016

   Exemption notice - some property schemes

   The FMA believes that property schemes generally can and should comply with the same licensing and governance requirements under the FMC Act as other managed investment schemes (MIS). However given the characteristics of property schemes, we recognise that full compliance with some specific requirements may be unnecessary, and the cost is likely to outweigh benefits for
   investors. As a result, we have approved class exemptions for property schemes and their custodians to address these matters.

   Tags

   Client money or property services provider, Exemptions, Roles, Business

   Type

   PDF

4. 25 March 2022

   Zhongyang (Sean) Meng and Jiashun (Sam) Qian - Judgment

   JUDGMENT: Zhongyang (Sean) Meng and Jiashun (Sam) Qian have been ordered to pay pecuniary penalties of $180,000 and $130,000 respectively for market manipulation and disclosure breaches involving Oceania Natural Limited (ONL) shares.

   Tags

   Judgment, Enforcement

   Type

   PDF

5. 30 September 2022

   AIA New Zealand Ltd - Judgment

   23 September 2022 The Auckland High Court ordered life insurer AIA to pay a pecuniary penalty of $700,000 for making false and/or misleading representations to some customers.

   Tags

   Judgment, Enforcement

   Type

   PDF

6. 5 June 2020

   Steven Robertson - Judgment

   Court of Appeal decision in the Judgment against Steven Roberson, 5 June 2020.

   Tags

   Court decision, Enforcement

   Type

   PDF

7. 5 July 2023

   Validus - Stop Order

   FMA makes permanent stop order against Validus after appeal is dismissed in the High Court.

   Tags

   Stop Order, Enforceable undertaking, Powers, Enforcement

   Type

   PDF

8. 24 January 2014

   Lombard - Settlement Agreement

   News release issued by PWC, 24 January 2014 about settlement agreement with the Directors of Lombard and their insurers.

   Tags

   Settlement, Enforcement

   Type

   PDF

9. 2 May 2016

   Craigs - Settlement Agreement

   Craigs and FMA Settlement agreement,following an investigation into potential breaches of Anti-Money Laundering and Countering Financing of Terrorism Act 2009 in relation to Craigs. 2 May 2016.

   Tags

   Investigations, Settlement, Enforcement

   Type

   PDF

10. 29 September 2014

    General Equity - Order

    Order issued by the FMA against General Equity and associated persons of General Equity on 29 September 2014

    Tags

    Enforceable action, Formal warning, Powers, Enforcement

    Type

    PDF

11. 12 December 2013

    Czech National Bank (Czech Republic) - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Czech National Bank (Czech Republic).

    Tags

    Regulatory cooperation, FMA

    Type

    PDF, MOU

12. 12 December 2013

    Fjarmalaeftirlitio (Iceland) - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Fjarmalaeftirlitio (Iceland).

    Tags

    Regulatory cooperation, FMA

    Type

    PDF, MOU

13. 12 December 2013

    Bank of Luthuania - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Bank of Luthuania
    

    Tags

    Regulatory cooperation, FMA

    Type

    PDF, MOU

14. 12 December 2013

    European Union (EU) Competent Authorities - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the EU competent authorities.

    Tags

    Regulatory cooperation, FMA

    Type

    PDF, MOU

15. 12 December 2013

    Magyar Nemzeti Bank Hungary - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Magyar Nemzeti Bank Hungary

    Tags

    Regulatory cooperation, FMA

    Type

    PDF, MOU