Back

Search results

Found 2376 results. Displaying page 84 of 159

  1. 27 February 2015

    Issuers registers of regulated products and the FMAs discretion under section 224

    This information sheet outlines the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act). It also sets out how the FMA will exercise its discretion to authorise an issuer to decline a request for a copy of a register under section 224 of the FMC Act.
    Tags
    Derivative Issuer, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Information Sheet

  2. 5 October 2011

    Superannuation schemes report 2011

    The FMA’s role is to actively engage with trustees of superannuation schemes to ensure that the trustees are complying with the Act. If a matter comes to our attention, we will enquire whether a superannuation scheme is operating in accordance with the Act, under our powers specified in Part 3 of the Financial Markets Authority Act 2011. This is the 2011 report.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF

  3. 24 February 2015

    Reporting SIPO limit breaks Information sheet

    This information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Information Sheet

  4. 1 September 2017

    Disclosing non gaap financial information guidance

    This guidance replaces our 2012 Guidance note: Disclosing non-GAAP financial information to reflect the requirements of the Financial Markets Conduct Act 2013 (FMC Act) and our findings from the review of non-GAAP financial information since 2012.
    Tags
    Compliance, Reporting entities, Business
    Type
    PDF, Guidance

  5. 1 December 2014

    Exemptions: Financial Advisers Act 2008 guidance note

    This guidance note explains the approach of the Financial Markets Authority (the FMA) to granting exemptions under the Financial Advisers Act 2008. It is intended to provide answers to commonly asked questions in relation to exemptions and to provide information to potential applicants on the process for making an application.
    Tags
    Type
    PDF, Guidance

  6. 17 April 2020

    Liquidity risk management - good practice guide

    The Financial Markets Authority (FMA) has published this good practice guide to provide Managers of Managed Investment Schemes (MIS Managers) with details of good practices for liquidity management and stress testing.
    We encourage the adoption of these practices in a manner suited to each individual fund/s.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF

  7. 23 June 2023

    Proposed guidance and expectations for keeping proper climate-related disclosure records

    This PROPOSED guidance note is for entities that have climate-related disclosure obligations under Part 7A of the Financial Markets Conduct Act 2013. It is intended to help climate reporting entities (CREs) to meet their statutory requirement to keep proper climate-related disclosure records at all times.
    Tags
    Authorised body under a FAP, Banking, Insurance Providers, Climate related disclosure, Financial Institutions, Roles, Climate Reporting Entities, Business, Managed investment schemes
    Type
    PDF, Guidance

  8. 1 December 2014

    FMA's review of market disclosures

    This report was first published by the Financial Markets Authority (FMA) in June 2013 and discusses
    disclosure obligations under the SMA. These disclosure obligations now fall under the FMC Act and
    are largely unchanged, therefore the findings and observations contained in this report remain
    relevant.
    Tags
    Reports and Papers, Directors, Roles, Business, News & Insights
    Type
    PDF

  9. 1 June 2014

    FMA’s supervision of Anti-Money Laundering and Countering Financing of Terrorism

    This 2014 document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities
    under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).
    Tags
    AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF

  10. 1 July 2020

    Derivatives Issuer Sector Risk Assessment

    This sector risk assessment summarises the key risks posed by licensed Derivatives Issuers (DIs) to the FMA’s objective of promoting fair, efficient and transparent financial markets. It is based on a self-assessment completed by DIs, as well as our interactions with DIs and their clients since FMC Act licensing began.
    Tags
    Reports and Papers, Derivative Issuer, Roles, Business, News & Insights
    Type
    PDF

  11. 21 August 2020

    MyFiduciary Report 2020

    This report was commissioned by the Financial Markets Authority (FMA). In the report we examine how active or passive each KiwiSaver Provider is. We also examine whether investment management fees differ between active and passive approaches.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF

  12. 8 March 2022

    Exemption Notice - IG Australia

    The Financial Markets Conduct (IG Australia Pty Limited) Exemption Notice 2022 provides relief to IG Australia Pty Limited (IG Australia) from certain financial reporting and audit obligations in the FMC Act and from certain assurance obligations and register entry requirements in the FMC Regulations.
    Tags
    FMC Act, Exemptions, Legislation, Business
    Type
    PDF

  13. 10 May 2023

    Exemption notice - Sharesies Investment Management Limited

    The Notice exempts Sharesies Investment Management Limited (Sharesies) as manager of the Sharesies KiwiSaver Scheme (Scheme), and the self-select fund in the Scheme (self-select fund) from certain provisions of the Financial Markets Conduct Act 2013.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Exemption notice

  14. 14 June 2022

    Cigna and OnePath Life - Enforceable Undertaking

    OnePath Life (NZ) Limited and Cigna Life Insurance New Zealand Limited will jointly pay $180,000 to the FMA after admitting liability for breaching the fair dealing provisions of the Financial Markets Conduct Act 2013 (FMCA). 14 June 2022
    Tags
    Enforceable Undertaking, Enforcement
    Type
    PDF

  15. 30 November 2018

    Wynyard Group Limited - Investigation report

    This report sets out the Financial Markets Authority’s (FMA) conclusions following an investigation into the compliance of Wynyard Group Limited (Wynyard) with its continuous disclosure and fair dealing obligations. The investigation considered the period leading up to the company’s failure in late 2016.
    Tags
    Type
    PDF