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Found 434 results. Displaying page 18 of 29

1. 27 July 2023

   The Conduct of Financial Institutions regime presentation by Michael Hewes Financial Markets Law Conference

   FMA presentation on CoFI regime covers licensing, fair conduct programmes, sales incentives, and governance expectations for financial institutions.

2. 9 September 2022

   Financial Markets Conduct NZX NZ Markets Disciplinary Rules Approval of Rule Change Notice 2022

   This notice is the Financial Markets Conduct (NZX NZ Markets Disciplinary Tribunal Rules) Approval of Rule Change Notice 2022.

3. 26 July 2021

   Regulators’ discussion on Conduct of Financial Institutions Amendment Bill, Financial Markets Law Conference 2021

   Regulators’ discussion on Conduct of Financial Institutions Amendment Bill, Financial Markets Law Conference, Auckland, 26 July 2021

4. 2 March 2021

   Exemption notice - Financial Markets Conduct ICAP Brokers Pty Limited and ICAP New Zealand Limited

   Financial Markets Conduct (ICAP Brokers Pty Limited and ICAP New Zealand Limited) Exemption Notice 2021

5. 29 November 2019

   Financial Markets Conduct - Disclosure of Relevant Interests by Directors and Senior Manager Exemption Notice

   Exemption notice issued by the FMA for Financial Markets Conduct Disclosure of Relevant Interests by Directors and Senior Managers.

6. 30 October 2018

   Exemption notice - Financial Markets Conduct Asteron Retirement Investment Limited and Asteron Life Limited 2018

   Financial Markets Conduct (Asteron Retirement Investment Limited and Asteron Life Limited) Exemption Notice 2018

7. 24 November 2016

   Exemption Notice - Financial Markets Conduct NZ Mortgage Income Trust No 2 Group Investment Fund

   Financial Markets Conduct Exemption Notice 2016: NZ Mortgage Income Trust (No 2 Fund) Group Investment Fund.

8. 16 December 2015

   Financial Markets Conduct Act (NZX Markets - Standard Settlement) Approval of Market Rules Notice 2015

   FMA approval of NZX market rules under FMC Act 2013 for standard settlement across debt, equity, and alternative markets.

9. 1 December 2015

   Exemption Notice - Financial Markets Conduct ICAP Brokers Pty Limited and ICAP New Zealand Limited

   Financial Markets Conduct (ICAP Brokers Pty Limited and ICAP New Zealand Limited) Exemption Notice 2015

10. 30 November 2014

    Exclusions under the Financial Markets Conduct Act 2013 FMC Act Summary of Schedule 1

    Exclusions under the Financial Markets Conduct Act 2013 FMC Act Summary of Schedule 1. Published November 2014.

11. 3 August 2020

    Exemption Notice - Booster Financial Services Ltd

    Financial Markets Conduct Exemption Notice 2020 - Booster Financial Services Limited

12. 20 April 2020

    Exemption Notice - Imperium Markets 2020

    Financial Markets Conduct Exemption Notice 2020: Imperium Markets Pty Limited.

13. 27 March 2020

    Exemption notice - UBT Invest NZ Funds

    Financial Markets Conduct (UBT Invest NZ Funds) Exemption Notice 2020

14. 23 October 2019

    Exemption Notice - Obsidian Contributory Mortgage Scheme

    Financial Markets Conduct Exemption Notice 2019: Obsidian Contributory Mortgage Scheme.

15. 15 July 2019

    Exemption notice - Napier Port Holdings Limited

    Financial Markets Conduct (Napier Port Holdings Limited) Exemption Notice 2019