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Found 2229 results. Displaying page 30 of 149

  1. 1 December 2014

    NZX Financial Product Market Licence 2014

    New Zealand Financial Product Market Licence (NZX
    Limited) 2014
    Tags
    Market operator, Roles, Licence, Licensing & registration, Business
    Type
    PDF

  3. 25 November 2020

    ANZ - Settlement Agreement

    Settlement Agreement with ANZ Bank New Zealand Limited, 25 November 2020.
    Tags
    Settlement, Enforcement
    Type
    PDF

  7. 16 April 2019

    Director sentenced to community service for abuse of FSPR

    A New Zealand-based director of Morgan DeVere Corporate Finance Limited has been sentenced to 75 hours of community service for breaching the Financial Service Providers (Registration and Dispute Resolution) Act 2008. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  8. 31 January 2023

    Financial Markets Conduct - NZX Listing Rules Approval of Rule Change Notice 2023

    This notice is the Financial Markets Conduct (NZX Listing Rules) Approval of Rule Change Notice 1/2023. This notice comes into force on 31 January 2023. This notice approves amendments to the NZX Listing Rules. The amendments
    relate primarily to the NZX Corporate Governance Code (the Code), contained at Appendix 1 to the Listing Rules.
    Tags
    Roles, Business, Market operator
    Type
    PDF, Notice

  9. 9 May 2024

    Financial Markets Conduct Abacus Storage King Exemption Notice 2024

    The Financial Markets Conduct (Abacus Storage King) Exemption Notice 2024 (Notice) exempts Abacus Storage Operations Limited (ASOL) and Abacus Storage Property Trust (the Trust) (together the issuers), and Abacus Storage Funds Management Limited (ASFML) (as responsible entity for the Trust under Australian law) from compliance with the disclosure requirements in Part 3 of the Financial Markets Conduct Act 2013 Act (Act), and exempts the Trust and ASFML from compliance with the governance requirements for managed investment schemes in Part 4 of the Act. The exemptions apply only to offers of stapled securities (each consisting of a share in ASOL and a unit in the Trust) which are made under an employee security plan established by the issuers to certain eligible persons in New Zealand (Abacus Storage King ESP).
    Tags
    Type
    PDF, Exemption notice

  10. 24 May 2019

    How to be a smart investor

    FMA article that explains what it takes to be a smart investor including basic investment principles, getting financial advice and creating a sound investment plan.
    Tags
    Investing, Article, Consumer, News & Insights
    Type
    Page

  11. 1 February 2014

    Investor experience of IPOs - research report

    This document explores attitudes towards investing in New Zealand’s financial markets, understand the experience of investing in New Zealand’s financial markets, understand the
    impact of offer documentation on investment decisions, and additionally, this research aims to provide profiling information on New Zealand investors. February 2014
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF, Research

  12. 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

  13. 6 July 2021

    Investor Confidence Report 2021

    This annual report is intended to measure the level of confidence the New Zealand public have in the New Zealand financial markets along with perceptions and awareness of the FMA.
    The research is conducted by an exernal provider. This is the Investor confidence survey results published in 2021.
    Tags
    Reports and Papers, Business, FMA, News & Insights
    Type
    PDF, Surveys

  14. 24 June 2020

    Investor Confidence Report 2020

    This annual report is intended to measure the level of confidence the New Zealand public have in the New Zealand financial markets along with perceptions and awareness of the FMA.
    The research is conducted by an exernal provider. This is the Investor confidence survey results published in 2020.
    Tags
    Business
    Type
    PDF, Surveys

  15. 3 December 2014

    Commerce Commission v ANZ - Settlement Agreement

    Settlement Agreement made with New Zealand Commerce Commission by ANZ Bank New Zealand Limited following an investigation into interest rate swaps transactions with rural customers between 2005 and 2009. 3 December 2014.
    Tags
    Type
    PDF